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.
S••••• J•••• L••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jul 2, 2026 · Austin, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDAug 21, 2023 to Jul 15, 2026 · Austin, Tx
- C••••••• S••••••••• formerAug 5, 2014 to Nov 6, 2023 · Austin, Tx
- N••••••••• M••••• I••••••••• S••••••••• no RAUMMay 9, 2011 to Aug 8, 2014 · Austin, Tx
- C••••••• S••••••••• formerSep 17, 2002 to Apr 12, 2011 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseJan 12, 2001 to Oct 1, 2002 · Plano, Tx
- A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Jul 15, 2026, registered Jul 2, 2026 (-13 days) · Affiliated broker-dealer or bank to another
- C••••••• S••••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 6, 2023, registered Aug 21, 2023 (-77 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to C••••••• S•••••••••left Aug 8, 2014, registered Aug 5, 2014 (-3 days) · Other
- C••••••• S••••••••• to N••••••••• M••••• I••••••••• S•••••••••left Apr 12, 2011, registered May 9, 2011 (27 days) · Other
- U•• F•••••••• S••••••• I••• to C••••••• S•••••••••left Oct 1, 2002, registered Sep 17, 2002 (-14 days) · Other
- S••••• J•••• L•••••• left A••••••••• F•••••••• S•••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2026-07-02)Jul 15, 2026 · 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