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.
- E••••• J•••• national BD currentsince Apr 28, 2026 · Dallas, Tx
- H•••••••• A•••••••• L•• BD affiliatedFeb 1, 2024 to Sep 17, 2025 · Chicago, Il
- S••• G••••• I••••••••• L•• otherFeb 12, 2021 to Jul 7, 2023 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 25, 2009 to Jan 10, 2020 · New York, Ny
- B••• A•••••••• L•• formerMar 17, 2008 to Sep 28, 2009 · Dallas, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 9, 2007 to Mar 17, 2008 · Dallas, Tx
- H•••••••• A•••••••• L•• to E••••• J••••left Sep 17, 2025, registered Apr 28, 2026 (223 days) · Affiliated broker-dealer or bank to another
- S••• G••••• I••••••••• L•• to H•••••••• A•••••••• L••left Jul 7, 2023, registered Feb 1, 2024 (209 days) · RIA to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••• G••••• I••••••••• L••left Jan 10, 2020, registered Feb 12, 2021 (399 days) · Wirehouse to independent RIA
- B••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 28, 2009, registered Sep 25, 2009 (-3 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to B••• A•••••••• L••left Mar 17, 2008, registered Mar 17, 2008 (0 days) · Other
- A••••• V• H••••• left H•••••••• A•••••••• L•• for E••••• J•••• (registered 2026-04-28)Sep 17, 2025 · Advisor changed firm · fact
- A••••• V• H••••• left S••• G••••• I••••••••• L•• for H•••••••• A•••••••• L•• (registered 2024-02-01)Jul 7, 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address