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.
K••••• T••••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Justin, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 15, 2018 to Mar 31, 2025 · Irving, Tx
- S•••••••• A••••••• L•• national BDJun 20, 2018 to Jul 13, 2018 · Irving, Tx
- Q•••••• A•••• M••••••••• I••• formerJul 23, 2013 to May 15, 2018 · Minneapolis, Mn
- L•• F•••••••• L•• BD affiliatedJul 5, 2011 to Jul 22, 2013 · Athens, Tx
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedMar 11, 2009 to Jul 5, 2011 · Athens, Tx
- E••••• J•••• national BDMar 2, 2007 to Mar 13, 2009 · Wills Point, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 15, 2018 (2 days) · corporate re-registration, not a move
- Q•••••• A•••• M••••••••• I••• to S•••••••• A••••••• L••left May 15, 2018, registered Jun 20, 2018 (36 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to Q•••••• A•••• M••••••••• I•••left Jul 22, 2013, registered Jul 23, 2013 (1 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Jul 5, 2011, registered Jul 5, 2011 (0 days) · corporate re-registration, not a move
- E••••• J•••• to U•••• F•••••••• S••••••• G••••• I•••left Mar 13, 2009, registered Mar 11, 2009 (-2 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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address