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.
C••••••••• H•••••••
- C•••••• S••••• • C••• I••• national BD currentsince Mar 23, 2026 · Dallas, Tx
- L•• F•••••••• L•• BD affiliatedSep 27, 2023 to Mar 13, 2026 · Mckinney, Tx
- N••••••••• M••••• I••••••••• S••••••••• no RAUMSep 22, 2016 to Oct 6, 2023 · Frisco, Tx
- W•••• F•••• A••••••• wirehouseAug 30, 2013 to Aug 3, 2016 · Addison, Tx
- U•• F•••••••• S••••••• I••• wirehouseFeb 22, 2008 to Sep 9, 2013 · Dallas, Tx
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Feb 25, 2008 · Dallas, Tx
- M••••• S•••••• D• I••• unclassifiedAug 27, 2001 to Apr 2, 2007 · Dallas, Tx
- L•• F•••••••• L•• to C•••••• S••••• • C••• I•••left Mar 13, 2026, registered Mar 23, 2026 (10 days) · Affiliated broker-dealer or bank to another
- N••••••••• M••••• I••••••••• S••••••••• to L•• F•••••••• L••left Oct 6, 2023, registered Sep 27, 2023 (-9 days) · Other
- W•••• F•••• A••••••• to N••••••••• M••••• I••••••••• S•••••••••left Aug 3, 2016, registered Sep 22, 2016 (50 days) · Other
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Sep 9, 2013, registered Aug 30, 2013 (-10 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Feb 25, 2008, registered Feb 22, 2008 (-3 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- C••••••••• H••••••• left L•• F•••••••• L•• for C•••••• S••••• • C••• I••• (registered 2026-03-23)Mar 13, 2026 · Advisor changed firm · fact
- C••••••••• H••••••• left N••••••••• M••••• I••••••••• S••••••••• for L•• F•••••••• L•• (registered 2023-09-27)Oct 6, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address