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.
K••••••• E••••• M•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Sep 3, 2025 · Dallas, Tx
- R•••••• J•••• • A••••••••• I••• national BDOct 5, 2015 to May 2, 2017 · New Orleans, La
- S••• I••••••••• C•••••• independent RIAOct 2, 2014 to Mar 2, 2015 · Metairie, La
- U••• F•••••••• P••••••• S••••••• formerJan 29, 2008 to Jul 11, 2014 · San Antonio, Tx
- U•• F•••••••• S••••••• I••• wirehouseDec 13, 2005 to Jan 24, 2008 · San Antonio, Tx
- R•••••• J•••• • A••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 2, 2017, registered Sep 3, 2025 (3046 days) · Affiliated broker-dealer or bank to wirehouse
- S••• I••••••••• C•••••• to R•••••• J•••• • A••••••••• I•••left Mar 2, 2015, registered Oct 5, 2015 (217 days) · Other
- U••• F•••••••• P••••••• S••••••• to S••• I••••••••• C••••••left Jul 11, 2014, registered Oct 2, 2014 (83 days) · Other
- U•• F•••••••• S••••••• I••• to U••• F•••••••• P••••••• S•••••••left Jan 24, 2008, registered Jan 29, 2008 (5 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address