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.
D•••• N••••• S••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince May 15, 2025 · Grapevine, Tx
- A•••••• R••••••• C•••••• independent RIAJan 28, 2013 to Dec 13, 2016 · Lewisville, Tx
- L•• F•••••••• L•• BD affiliatedJun 29, 2012 to May 27, 2025 · Frisco, Tx
- I••••••••• A••••••• S••••••• I•• formerDec 15, 2009 to Jun 29, 2012 · Fort Worth, Tx
- E•••••••• A•••••••• L•• national BDApr 23, 2009 to Dec 21, 2009 · Fort Worth, Tx
- S•••••••• A••••••• L•• national BDDec 10, 2004 to Sep 28, 2006 · Westlake, Tx
- E•••••••• A•••••••• L•• national BDNov 24, 2003 to Sep 27, 2004 · Fort Worth, Tx
- L•• F•••••••• L•• to A•••••• R••••••• C••••••left May 27, 2025, registered Jan 28, 2013 (-4502 days) · Other
- A•••••• R••••••• C•••••• to C••••• I••••••••• A••••••• L••left Dec 13, 2016, registered May 15, 2025 (3075 days) · Other
- I••••••••• A••••••• S••••••• I•• to L•• F•••••••• L••left Jun 29, 2012, registered Jun 29, 2012 (0 days) · Other
- E•••••••• A•••••••• L•• to I••••••••• A••••••• S••••••• I••left Dec 21, 2009, registered Dec 15, 2009 (-6 days) · Other
- S•••••••• A••••••• L•• to E•••••••• A•••••••• L••left Sep 28, 2006, registered Apr 23, 2009 (938 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to S•••••••• A••••••• L••left Sep 27, 2004, registered Dec 10, 2004 (74 days) · Affiliated broker-dealer or bank to another
- D•••• N••••• S•••••••• left L•• F•••••••• L•• for A•••••• R••••••• C•••••• (registered 2013-01-28)May 27, 2025 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address