RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
A••• G•••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Westlake, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDFeb 26, 2016 to Jul 13, 2018 · Westlake, Tx
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJan 18, 2012 to Jan 26, 2016 · Dallas, Tx
- 1•• G••••• A••••••• I•• formerJun 23, 2008 to Dec 9, 2011 · Dallas, Tx
- U•• F•••••••• S••••••• I••• wirehouseAug 23, 2002 to Oct 29, 2003 · Plano, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to S•••••••• A••••••• L••left Jan 26, 2016, registered Feb 26, 2016 (31 days) · Other
- 1•• G••••• A••••••• I•• to N••••••••• M••••• I••••••••• S•••••••••left Dec 9, 2011, registered Jan 18, 2012 (40 days) · Other
- U•• F•••••••• S••••••• I••• to 1•• G••••• A••••••• I••left Oct 29, 2003, registered Jun 23, 2008 (1699 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address