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•••• M•••• H••••••
- I•••••••• A•••••••• L•• BD affiliated currentsince May 23, 2025 · Urbandale, Ia
- L••• S••••• A•••••••• L•• formerAug 12, 2013 to Nov 3, 2025 · Austin, Tx
- L•• F•••••••• L•• BD affiliatedMar 23, 2012 to Dec 7, 2012 · Waupaca, Wi
- W•• A•••••••• L• formerNov 10, 2009 to Dec 31, 2011 · Dallas, Tx
- E•••••••• A•••••••• L•• national BDSep 10, 2002 to Feb 23, 2009 · Dallas, Tx
- L••• S••••• A•••••••• L•• to I•••••••• A•••••••• L••left Nov 3, 2025, registered May 23, 2025 (-164 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to L••• S••••• A•••••••• L••left Dec 7, 2012, registered Aug 12, 2013 (248 days) · Other
- W•• A•••••••• L• to L•• F•••••••• L••left Dec 31, 2011, registered Mar 23, 2012 (83 days) · Other
- E•••••••• A•••••••• L•• to W•• A•••••••• L•left Feb 23, 2009, registered Nov 10, 2009 (260 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address