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.
K••• R•• F•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 14, 2026 · Plano, Tx
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 14, 2026 · Plano, Tx
- H•••••• S••••••••• I••• BD affiliated currentsince May 29, 2025 · Dallas, Tx
- H•••••• S••••••••• I••• BD affiliatedMay 29, 2025 to Sep 17, 2026 · Dallas, Tx
- H•••••• W•••••• I••••••••• S••••••• I••• independent RIAJul 20, 2018 to Aug 23, 2022 · New Orleans, La
- H•••••• W•••••• I••••••••• S••••••• I••• independent RIAJul 20, 2018 to Aug 23, 2022 · New Orleans, La
- S•••••••• A••••••• L•• national BDMar 21, 2013 to Jul 12, 2018 · Lynnwood, Wa
- S•••••••• A••••••• L•• national BDMar 21, 2013 to Jul 12, 2018 · Lynnwood, Wa
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Feb 22, 2013 · Seattle, Wa
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Oct 1, 2012 · Seattle, Wa
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Oct 1, 2012 · Seattle, Wa
- W••• I••••••••• I••• unclassifiedApr 28, 2009 to May 2, 2009 · Seattle, Wa
- H•••••• S••••••••• I••• to C••••• I••••••••• A••••••• L••left Sep 17, 2026, registered Sep 14, 2026 (-3 days) · Affiliated broker-dealer or bank to another
- H•••••• W•••••• I••••••••• S••••••• I••• to H•••••• S••••••••• I•••left Aug 23, 2022, registered May 29, 2025 (1010 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to H•••••• W•••••• I••••••••• S••••••• I•••left Jul 12, 2018, registered Jul 20, 2018 (8 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to S•••••••• A••••••• L••left Feb 22, 2013, registered Mar 21, 2013 (27 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- K••• R•• F••••• left H•••••• S••••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2026-09-14)Sep 17, 2026 · Advisor changed firm · fact
- K••• R•• F••••• left H•••••• W•••••• I••••••••• S••••••• I••• for H•••••• S••••••••• I••• (registered 2025-05-29)Aug 23, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address