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.
M•••••• E••••• L••••••••
- S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Sep 2, 2025 · Stamford, Ct
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 23, 2015 to Sep 2, 2025 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedJun 4, 2007 to Nov 2, 2015 · The Woodlands, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDOct 8, 1999 to May 31, 2007 · Houston, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S•••••• P••••••• I••••••••• A•••••••• L••left Sep 2, 2025, registered Sep 2, 2025 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 2, 2015, registered Oct 23, 2015 (-10 days) · Other · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left May 31, 2007, registered Jun 4, 2007 (4 days) · Other
- M•••••• E••••• L•••••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2025-09-02)Sep 2, 2025 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address