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•••••• T•••••
- P••• A••••• S••••••••• L•• BD affiliated currentsince May 20, 2026 · Lake Oswego, Or
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 30, 2009 to Nov 19, 2012 · Austin, Tx
- U•• F•••••••• S••••••• I••• wirehouseOct 19, 2007 to Oct 14, 2009 · Austin, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 1, 2004 to Oct 23, 2007 · Austin, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 17, 2000 to Oct 28, 2002 · San Jose, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P••• A••••• S••••••••• L••left Nov 19, 2012, registered May 20, 2026 (4930 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 14, 2009, registered Sep 30, 2009 (-14 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to U•• F•••••••• S••••••• I•••left Oct 23, 2007, registered Oct 19, 2007 (-4 days) · Other
- C•••••••• G••••• M•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 28, 2002, registered Mar 1, 2004 (490 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address