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.
R•••••• J•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Fort Worth, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDOct 20, 2011 to Jul 13, 2018 · Westminster, Co
- P••• A••••••• I••••••••• A•••••••• I••• independent RIAJan 4, 2010 to Aug 18, 2011
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedSep 3, 2008 to Dec 17, 2009 · Fort Worth, Tx
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 2, 2008 to Sep 4, 2008 · Ft Worth, 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•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- P••• A••••••• I••••••••• A•••••••• I••• to S•••••••• A••••••• L••left Aug 18, 2011, registered Oct 20, 2011 (63 days) · RIA to affiliated broker-dealer or bank
- C•••••••• I••••••••• R••••••• A•••••••• I••• to P••• A••••••• I••••••••• A•••••••• I•••left Dec 17, 2009, registered Jan 4, 2010 (18 days) · Other
- V••• F•••••••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 4, 2008, registered Sep 3, 2008 (-1 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address