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.
H•••••• A••••
- R•••••••• A•••• M••••••••• BD affiliated currentsince Aug 29, 2025 · Duncanville, Tx
- P••••••• C•••••• A••••••• C••••••••• formerJul 20, 2017 to Apr 2, 2018 · Dallas, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 15, 2013 to Dec 14, 2016 · Roseville, Ca
- T• A••••••••• I••• formerOct 15, 2013 to Dec 14, 2016 · Roseville, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 2, 2013 · Richardson, Tx
- C•••• I••••••••• S••••••• C•••• formerDec 21, 2011 to Oct 1, 2012 · Richardson, Tx
- T• A••••••••• I••• formerJul 25, 2008 to Aug 30, 2011 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 25, 2008 to Aug 30, 2011 · Ft Worth, Tx
- P••••••• C•••••• A••••••• C••••••••• to R•••••••• A•••• M•••••••••left Apr 2, 2018, registered Aug 29, 2025 (2706 days) · RIA to RIA
- T• A••••••••• I••• to P••••••• C•••••• A••••••• C•••••••••left Dec 14, 2016, registered Jul 20, 2017 (218 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 14, 2016, registered Oct 15, 2013 (-1156 days) · channel change inside one enterprise, not a move
- J••• M••••• S••••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Oct 2, 2013, registered Oct 15, 2013 (13 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
- T• A••••••••• I••• to C•••• I••••••••• S••••••• C••••left Aug 30, 2011, registered Dec 21, 2011 (113 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Aug 30, 2011, registered Jul 25, 2008 (-1131 days) · channel change inside one enterprise, not a move
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