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••• P•••••• H•••
- L•• F•••••••• L•• BD affiliated currentsince May 1, 2025 · Frisco, Tx
- S•• I••••••••• A•••••••• I••• formerJul 1, 2022 to May 1, 2025 · San Diego, Ca
- A•••••• R••••••• C•••••• independent RIAJan 28, 2013 to Feb 28, 2020 · Farmers Branch, Tx
- L•• F•••••••• L•• BD affiliatedMar 31, 2011 to Jul 12, 2022 · Farmers Branch, Tx
- V•••• F•••••••• A•••••••• I••• BD affiliatedJun 3, 2004 to Apr 8, 2011 · Houston, Tx
- S•• I••••••••• A•••••••• I••• to L•• F•••••••• L••left May 1, 2025, registered May 1, 2025 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to A•••••• R••••••• C••••••left Jul 12, 2022, registered Jan 28, 2013 (-3452 days) · Other
- A•••••• R••••••• C•••••• to S•• I••••••••• A•••••••• I•••left Feb 28, 2020, registered Jul 1, 2022 (854 days) · RIA to affiliated broker-dealer or bank
- V•••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left Apr 8, 2011, registered Mar 31, 2011 (-8 days) · Other
- M••• P•••••• H••• left L•• F•••••••• L•• for A•••••• R••••••• C•••••• (registered 2013-01-28)Jul 12, 2022 · a•••••• firm change · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address