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.
T••••• L•••••• B••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 22, 2026 · San Diego, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 29, 2023 to Feb 25, 2026 · Richardson, Tx
- C••••• A•••••• N••••••• L•• formerJun 4, 2018 to Jun 29, 2023 · Richardson, Tx
- Q•••••• A•••• M••••••••• I••• formerOct 21, 2013 to Nov 21, 2014 · Minneapolis, Mn
- S•• BD affiliatedAug 26, 2011 to Dec 31, 2012 · Dallas, Tx
- W••••••• F•••••••• S•••••••• I••• formerDec 20, 2002 to Aug 30, 2011 · Dallas, Tx
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Feb 25, 2026, registered Feb 22, 2026 (-3 days) · Affiliated broker-dealer or bank to another
- C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
- Q•••••• A•••• M••••••••• I••• to C••••• A•••••• N••••••• L••left Nov 21, 2014, registered Jun 4, 2018 (1291 days) · Other
- S•• to Q•••••• A•••• M••••••••• I•••left Dec 31, 2012, registered Oct 21, 2013 (294 days) · Other
- W••••••• F•••••••• S•••••••• I••• to S••left Aug 30, 2011, registered Aug 26, 2011 (-4 days) · Other
- T••••• L•••••• B•••••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2026-02-22)Feb 25, 2026 · a•••••• firm change · 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address