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.
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Katy, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 18, 2022 to Mar 31, 2025 · Westlake, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 22, 2019 to Jul 14, 2022 · Pennington, Nj
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 14, 2018 to Oct 23, 2018 · Towson, Md
- T• A••••••••• I••• formerMar 14, 2018 to Oct 23, 2018 · Tulsa, Ok
- S•••••••• I••••••••• M••••••••• formerJun 17, 2017 to Mar 14, 2018 · Saint Louis, Mo
- 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 14, 2022, registered Nov 18, 2022 (127 days) · Wirehouse to affiliated broker-dealer or bank
- T• A••••••••• I••••••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2018, registered Oct 22, 2019 (364 days) · RIA to wirehouse
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 23, 2018, registered Mar 14, 2018 (-223 days) · Other
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I•••left Mar 14, 2018, registered Mar 14, 2018 (0 days) · Other
- A•••• R• N••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-11-18)Jul 14, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address