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.
M•••••• J••••• K•••
- L•• F•••••••• L•• BD affiliated currentsince Sep 5, 2025 · San Diego, Ca
- M••••••• I••••••••• N•••••• I••• BD affiliatedMay 1, 2023 to Sep 4, 2025 · Sherman, Tx
- H•••••• S••••••••• I••• BD affiliatedAug 21, 2020 to Jun 13, 2023 · Dallas, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerDec 10, 2015 to Aug 24, 2020 · Dallas, Tx
- C••••• I••••••••• A••••••• L•• BD affiliatedMay 14, 2014 to Oct 14, 2015 · Dallas, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to May 2, 2014 · Shreveport, La
- C•••• I••••••••• S••••••• C•••• formerNov 14, 2007 to Oct 1, 2012 · Shreveport, La
- M••••••• I••••••••• N•••••• I••• to L•• F•••••••• L••left Sep 4, 2025, registered Sep 5, 2025 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
- H•••••• S••••••••• I••• to M••••••• I••••••••• N•••••• I•••left Jun 13, 2023, registered May 1, 2023 (-43 days) · Affiliated broker-dealer or bank to another
- P•• M•••••• A•••••• S••••••••• I••• to H•••••• S••••••••• I•••left Aug 24, 2020, registered Aug 21, 2020 (-3 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to P•• M•••••• A•••••• S••••••••• I•••left Oct 14, 2015, registered Dec 10, 2015 (57 days) · Other
- J••• M••••• S••••••••• L•• to C••••• I••••••••• A••••••• L••left May 2, 2014, registered May 14, 2014 (12 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M•••••• J••••• K••• left M••••••• I••••••••• N•••••• I••• for L•• F•••••••• L•• (registered 2025-09-05)Sep 4, 2025 · Advisor changed firm · fact
- M•••••• J••••• K••• left H•••••• S••••••••• I••• for M••••••• I••••••••• N•••••• I••• (registered 2023-05-01)Jun 13, 2023 · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address