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•••••• L•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Aurora, Co
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 10, 2021 to Mar 31, 2025 · Westlake, Tx
- S•••••• P•••••••• L•• independent RIAFeb 18, 2021 to Jun 18, 2021 · Houston, Tx
- J••• M••••• S••••••••• L•• wirehouseMar 2, 2020 to Nov 20, 2020 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedMay 20, 2019 to Dec 26, 2019 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 27, 2018 to Apr 17, 2019 · Houston, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••• P•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 18, 2021, registered Sep 10, 2021 (84 days) · RIA to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to S•••••• P•••••••• L••left Nov 20, 2020, registered Feb 18, 2021 (90 days) · Wirehouse to independent RIA
- L•• F•••••••• L•• to J••• M••••• S••••••••• L••left Dec 26, 2019, registered Mar 2, 2020 (67 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Apr 17, 2019, registered May 20, 2019 (33 days) · Wirehouse to independent RIA · moved with a team
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address