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.
D••• M•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Dickinson, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 21, 2023 to Mar 31, 2025 · Westlake, Tx
- T••••••• I••••••••• M••••••••• institutionalAug 20, 2013 to Oct 17, 2023 · Madison, Wi
- C••• B•••••••• S•••••••• I••• formerAug 13, 2013 to Aug 20, 2013 · Waverly, Ia
- P•••••••• S••••••••• I••• BD affiliatedJul 11, 2008 to Jul 29, 2013 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedMar 18, 2008 to Jul 2, 2008 · Rancho Palos Verdes, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedSep 4, 2001 to Mar 7, 2008 · Los Alamitos, Ca
- 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
- T••••••• I••••••••• M••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 17, 2023, registered Nov 21, 2023 (35 days) · Other
- C••• B•••••••• S•••••••• I••• to T••••••• I••••••••• M•••••••••left Aug 20, 2013, registered Aug 20, 2013 (0 days) · channel change inside one enterprise, not a move
- P•••••••• S••••••••• I••• to C••• B•••••••• S•••••••• I•••left Jul 29, 2013, registered Aug 13, 2013 (15 days) · Other
- L•• F•••••••• L•• to P•••••••• S••••••••• I•••left Jul 2, 2008, registered Jul 11, 2008 (9 days) · Other
- V•••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left Mar 7, 2008, registered Mar 18, 2008 (11 days) · Other
- D••• M••••••• left T••••••• I••••••••• M••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-11-21)Oct 17, 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address