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.
W••••• P•••••
- I•••••••• A•••••••• L•• BD affiliated currentsince Nov 3, 2025 · Urbandale, Ia
- L••• S••••• A•••••••• L•• formerJul 11, 2018 to Nov 3, 2025 · Austin, Tx
- T•• A•••••••• I••• BD affiliatedJan 20, 2016 to Jun 4, 2018 · Cedar Park, Tx
- N•• E•••••• S••••••••• C••••••••• formerJan 17, 2012 to Oct 2, 2014 · Austin, Tx
- L••• S••••• A•••••••• L•• to I•••••••• A•••••••• L••left Nov 3, 2025, registered Nov 3, 2025 (0 days) · corporate re-registration, not a move
- T•• A•••••••• I••• to L••• S••••• A•••••••• L••left Jun 4, 2018, registered Jul 11, 2018 (37 days) · Affiliated broker-dealer or bank to another
- N•• E•••••• S••••••••• C••••••••• to T•• A•••••••• I•••left Oct 2, 2014, registered Jan 20, 2016 (475 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address