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.
T•••••• B•••• S••••••••
- O•••• W••••• M••••••••• L•• state registered currentsince Mar 9, 2025 · Richardson, Tx
- S••• L••• • C•••••• state registeredDec 21, 2020 to Mar 7, 2025 · Garland, Tx
- W•••• F•••• A••••••• wirehouseOct 4, 2011 to May 15, 2014 · Dallas, Tx
- M••••• S•••••• wirehouseApr 30, 2010 to Sep 7, 2011 · Dallas, Tx
- S••• L••• • C•••••• to O•••• W••••• M••••••••• L••left Mar 7, 2025, registered Mar 9, 2025 (2 days) · Other
- W•••• F•••• A••••••• to S••• L••• • C••••••left May 15, 2014, registered Dec 21, 2020 (2412 days) · Wirehouse to a state-registered adviser
- M••••• S•••••• to W•••• F•••• A•••••••left Sep 7, 2011, registered Oct 4, 2011 (27 days) · Wirehouse to wirehouse
- T•••••• B•••• S•••••••• left S••• L••• • C•••••• for O•••• W••••• M••••••••• L•• (registered 2025-03-09)Mar 7, 2025 · 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
- STATE REGISTEREDderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address