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•••••• L••• F••••••
- S••••• A•••• M••••••••• L••••• independent RIA currentsince Mar 28, 2025 · Spring, Tx
- S•• I••••••••• A•••••••• I••• formerJul 13, 2012 to Mar 27, 2025 · Fresno, Ca
- B••••••••• L•• formerMay 3, 2011 to Jul 13, 2012 · Dalton, Ga
- L•• F•••••••• L•• BD affiliatedFeb 4, 2004 to May 13, 2011 · Dalton, Ga
- S•• I••••••••• A•••••••• I••• to S••••• A•••• M••••••••• L•••••left Mar 27, 2025, registered Mar 28, 2025 (1 days) · Affiliated broker-dealer or bank to independent RIA
- B••••••••• L•• to S•• I••••••••• A•••••••• I•••left Jul 13, 2012, registered Jul 13, 2012 (0 days) · Other
- L•• F•••••••• L•• to B••••••••• L••left May 13, 2011, registered May 3, 2011 (-10 days) · Other
- M•••••• L••• F•••••• left S•• I••••••••• A•••••••• I••• for S••••• A•••• M••••••••• L••••• (registered 2025-03-28)Mar 27, 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address