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••••• O•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 22, 2026 · Southlake, Tx
- E••••• J•••• national BDMay 11, 2015 to May 25, 2026 · Flower Mound, Tx
- S•••••••• A••••••• L•• national BDOct 8, 2014 to May 5, 2015 · Westlake, Tx
- E••••• J•••• to A••••••••• F•••••••• S•••••••• L••left May 25, 2026, registered May 22, 2026 (-3 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to E••••• J••••left May 5, 2015, registered May 11, 2015 (6 days) · Affiliated broker-dealer or bank to another
- S••••• O••••• left E••••• J•••• for A••••••••• F•••••••• S•••••••• L•• (registered 2026-05-22)May 25, 2026 · 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