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••• Z•••• M••••
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince May 14, 2025 · Houston, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 25, 2019 to Apr 20, 2025 · Plano, Tx
- J••• M••••• S••••••••• L•• wirehouseMay 17, 2018 to May 8, 2019 · Houston, Tx
- S•••••••• I••••••••• M••••••••• formerMar 14, 2017 to Mar 9, 2018 · Saint Louis, Mo
- J••• M••••• S••••••••• L•• to V•••• F•••••••• A•••••••• I•••left Apr 20, 2025, registered May 14, 2025 (24 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••••• I••••••••• M••••••••• to J••• M••••• S••••••••• L••left Mar 9, 2018, registered May 17, 2018 (69 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- S••• Z•••• M•••• left J••• M••••• S••••••••• L•• for V•••• F•••••••• A•••••••• I••• (registered 2025-05-14)Apr 20, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address