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.
L••••• M••••••• J•••••• H••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Nov 7, 2025 · Dallas, Tx
- R•• C•••••• M••••••• L•• national BDDec 8, 2014 to Nov 13, 2025 · Frisco, Tx
- U•• F•••••••• S••••••• I••• wirehouseApr 15, 2003 to Dec 16, 2014 · Dallas, Tx
- R•• C•••••• M••••••• L•• to J••••• M••••••••• S•••• L••left Nov 13, 2025, registered Nov 7, 2025 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Dec 16, 2014, registered Dec 8, 2014 (-8 days) · Wirehouse to affiliated broker-dealer or bank
- L••••• M••••••• J•••••• H•••• left R•• C•••••• M••••••• L•• for J••••• M••••••••• S•••• L•• (registered 2025-11-07)Nov 13, 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address