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.
S•••••• B•••••• S••••••
- A••••••••• L•• independent RIA currentsince Apr 8, 2026 · Irving, Tx
- C••••••••• C•••••• A••••••• independent RIA currentsince Mar 30, 2023 · Irving, Tx
- C••••••••• F•••••••• N•••••• national BDJan 14, 2016 to Apr 3, 2023 · San Diego, Ca
- P••••••• F•••••••• S•••••••• I••• BD affiliatedMar 28, 2013 to Jan 14, 2016 · Dallas, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 12, 2013 · Arlington, Tx
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Arlington, Tx
- M••••• S•••••• D• I••• unclassifiedNov 23, 1993 to Apr 2, 2007 · Arlington, Tx
- C••••••••• F•••••••• N•••••• to C••••••••• C•••••• A•••••••left Apr 3, 2023, registered Mar 30, 2023 (-4 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- P••••••• F•••••••• S•••••••• I••• to C••••••••• F•••••••• N••••••left Jan 14, 2016, registered Jan 14, 2016 (0 days) · Other · moved with a team
- M••••• S•••••• to P••••••• F•••••••• S•••••••• I•••left Apr 12, 2013, registered Mar 28, 2013 (-15 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- S•••••• B•••••• S•••••• left C••••••••• F•••••••• N•••••• for C••••••••• C•••••• A••••••• (registered 2023-03-30)Apr 3, 2023 · Advisor changed firm · fact
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
- Independent wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address