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.
S••••• W•••••
- C•••••• S••••• • C••• I••• national BD currentsince Apr 1, 2025 · Westlake, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 23, 2019 to Mar 27, 2025 · Stamford, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDDec 15, 2015 to Nov 5, 2019 · Portsmouth, Nh
- 1•• G••••• A••••••• I•• formerFeb 28, 2012 to Nov 16, 2015 · Dallas, Tx
- T•••••• I••••••••• M••••••••• L•• mixed wealthFeb 17, 2009 to Feb 27, 2012 · Fort Worth, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 25, 2006 to Dec 22, 2008 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Mar 27, 2025, registered Apr 1, 2025 (5 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 5, 2019, registered Dec 23, 2019 (48 days) · Affiliated broker-dealer or bank to wirehouse
- 1•• G••••• A••••••• I•• to A••••••••• F•••••••• S•••••••• L••left Nov 16, 2015, registered Dec 15, 2015 (29 days) · Other
- T•••••• I••••••••• M••••••••• L•• to 1•• G••••• A••••••• I••left Feb 27, 2012, registered Feb 28, 2012 (1 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T•••••• I••••••••• M••••••••• L••left Dec 22, 2008, registered Feb 17, 2009 (57 days) · Other
- S••••• W••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for C•••••• S••••• • C••• I••• (registered 2025-04-01)Mar 27, 2025 · 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address