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•••• J• G•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Buda, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 12, 2022 to Mar 31, 2025 · Salt Lake City, Ut
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 25, 2016 to Oct 15, 2021 · Austin, Tx
- N•• A•••••• S•••••••• L•• formerSep 15, 2015 to Sep 22, 2016 · Austin, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 5, 2014 to Jun 10, 2015 · Austin, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDDec 15, 2004 to Mar 17, 2005 · Austin, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- K••••• A••••••• S•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 15, 2021, registered Jan 12, 2022 (89 days) · Affiliated broker-dealer or bank to another
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 25, 2016 (-150 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N•• A•••••• S•••••••• L••left Jun 10, 2015, registered Sep 15, 2015 (97 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 17, 2005, registered Aug 5, 2014 (3428 days) · Affiliated broker-dealer or bank to wirehouse
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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address