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•••••• S••••• • C••• I••• national BD currentsince May 19, 2026 · Yardley, Pa
- L••• I••••••••• M••••••••• mixed wealthMay 1, 2020 to Dec 12, 2025 · Dallas, Tx
- P•••• C•••••• M••••••••• L•• unclassifiedSep 23, 2016 to Nov 21, 2018 · Dallas, Tx
- L••• I••••••••• M••••••••• to C•••••• S••••• • C••• I•••left Dec 12, 2025, registered May 19, 2026 (158 days) · RIA to affiliated broker-dealer or bank
- P•••• C•••••• M••••••••• L•• to L••• I••••••••• M•••••••••left Nov 21, 2018, registered May 1, 2020 (527 days) · Other
- L••• S•••• left L••• I••••••••• M••••••••• for C•••••• S••••• • C••• I••• (registered 2026-05-19)Dec 12, 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address