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.
L•••• L•••••• V••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince May 27, 2026 · Austin, Tx
- K••••• P•••••• W••••• S•••••••• L•• BD affiliatedFeb 22, 2019 to Jun 17, 2026 · Austin, Tx
- M••••• S•••••• wirehouseJan 10, 2012 to Feb 22, 2019 · Carlsbad, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 7, 2005 to Jan 12, 2012 · Carlsbad, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMay 15, 2001 to Jan 18, 2005 · Encinitas, Ca
- K••••• P•••••• W••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Jun 17, 2026, registered May 27, 2026 (-21 days) · channel change inside one enterprise, not a move
- M••••• S•••••• to K••••• P•••••• W••••• S•••••••• L••left Feb 22, 2019, registered Feb 22, 2019 (0 days) · Wirehouse to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jan 12, 2012, registered Jan 10, 2012 (-2 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 18, 2005, registered Jan 7, 2005 (-11 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address