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.
C•••••• L••••• P•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Austin, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 22, 2018 to Mar 31, 2025 · Dallas, Tx
- C•••••• S••••• • C••• I••• national BDOct 14, 2005 to Sep 8, 2008 · Dallas, Tx
- F•••• H•••••• A•••••••• I•• formerJun 6, 2005 to Oct 12, 2005 · Dallas, Tx
- M•••••• I••••••••• F••• S••••••• L•• unclassifiedSep 13, 2004 to Dec 7, 2004 · Irving, Tx
- S•••••••• A••••••• L•• national BDFeb 10, 2003 to Sep 27, 2004 · Dallas, 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
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 8, 2008, registered Oct 22, 2018 (3696 days) · Affiliated broker-dealer or bank to another
- F•••• H•••••• A•••••••• I•• to C•••••• S••••• • C••• I•••left Oct 12, 2005, registered Oct 14, 2005 (2 days) · Other
- M•••••• I••••••••• F••• S••••••• L•• to F•••• H•••••• A•••••••• I••left Dec 7, 2004, registered Jun 6, 2005 (181 days) · Other
- S•••••••• A••••••• L•• to M•••••• I••••••••• F••• S••••••• L••left Sep 27, 2004, registered Sep 13, 2004 (-14 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address