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.
J••••• S••••••
- I•••••••• A•••••••• L•• BD affiliated currentsince Sep 9, 2025 · Urbandale, Ia
- L••• S••••• A•••••••• L•• formerSep 28, 2021 to Nov 3, 2025 · Austin, Tx
- K••••• A••••••• S•••••••• L•• BD affiliatedJun 19, 2018 to Sep 23, 2021 · Austin, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Jun 21, 2018 · Austin, Tx
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Mar 25, 2017 · Austin, Tx
- N•• E•••••• S••••••••• C••••••••• formerSep 23, 2009 to Jan 2, 2015 · Austin, Tx
- E•••••••• A•••••••• L•• national BDDec 18, 2006 to Sep 8, 2009 · Austin, Tx
- L••• S••••• A•••••••• L•• to I•••••••• A•••••••• L••left Nov 3, 2025, registered Sep 9, 2025 (-55 days) · corporate re-registration, not a move
- K••••• A••••••• S•••••••• L•• to L••• S••••• A•••••••• L••left Sep 23, 2021, registered Sep 28, 2021 (5 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Jun 21, 2018, registered Jun 19, 2018 (-2 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Sep 8, 2009, registered Sep 23, 2009 (15 days) · Other
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address