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.
S••••• D••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · Dallas, Tx
- A•••••• A••••••• S••••••• formerOct 25, 2019 to Sep 5, 2025 · Dallas, Tx
- 1•• G••••• A••••••• I•• formerJun 10, 2015 to Oct 25, 2019 · Dallas, Tx
- P••••••• F•••••••• S•••••••• I••• BD affiliatedDec 1, 2014 to Jun 11, 2015 · Dallas, Tx
- W•• A•••••••• L• formerJan 8, 2014 to Dec 1, 2014 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 27, 2012 to Jan 2, 2014 · Louisville, Ky
- 1•• G••••• A••••••• I•• formerFeb 20, 2008 to Nov 5, 2012 · Dallas, Tx
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- 1•• G••••• A••••••• I•• to A•••••• A••••••• S•••••••left Oct 25, 2019, registered Oct 25, 2019 (0 days) · corporate re-registration, not a move
- P••••••• F•••••••• S•••••••• I••• to 1•• G••••• A••••••• I••left Jun 11, 2015, registered Jun 10, 2015 (-1 days) · Other
- W•• A•••••••• L• to P••••••• F•••••••• S•••••••• I•••left Dec 1, 2014, registered Dec 1, 2014 (0 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•• A•••••••• L•left Jan 2, 2014, registered Jan 8, 2014 (6 days) · Other
- 1•• G••••• A••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 5, 2012, registered Nov 27, 2012 (22 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address