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•••••• independent RIA currentsince Jul 27, 2026 · Dallas, Tx
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 20, 2016 to Jul 14, 2026 · Dallas, Tx
- N•• A•••••• S•••••••• L•• formerSep 17, 2003 to Sep 22, 2016 · Dallas, Tx
- E•••••••• A•••••••• L•• national BDJul 2, 2003 to Jul 21, 2003 · Dallas, Tx
- K••••• A••••••• S•••••••• L•• to C••••••left Jul 14, 2026, registered Jul 27, 2026 (13 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 20, 2016 (-155 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to N•• A•••••• S•••••••• L••left Jul 21, 2003, registered Sep 17, 2003 (58 days) · Other
- K•••••••• A•• R•••••••• left K••••• A••••••• S•••••••• L•• for Corient (registered 2026-07-27)Jul 14, 2026 · a•••••• firm change · 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address