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.
K•••• D•••••• N•••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Westlake, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 10, 2020 to Mar 31, 2025 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 19, 2019 to Oct 3, 2019 · Garland, Tx
- T• A••••••••• I••• formerFeb 19, 2019 to Oct 3, 2019 · Garland, Tx
- E•••••• C•••••• M••••••••• L•• formerFeb 21, 2018 to Jan 17, 2019 · Dallas, Tx
- C•••••• O•• A•••••••• L•• formerDec 20, 2016 to Feb 13, 2018 · Plano, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 27, 2013 to Jan 6, 2017 · Beaumont, Tx
- M••••• S•••••• wirehouseApr 6, 2012 to Sep 16, 2013 · Beaumont, 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
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Oct 3, 2019, registered Feb 19, 2019 (-226 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 3, 2019, registered Feb 19, 2019 (-226 days) · channel change inside one enterprise, not a move
- E•••••• C•••••• M••••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Jan 17, 2019, registered Feb 19, 2019 (33 days) · RIA to RIA
- C•••••• O•• A•••••••• L•• to E•••••• C•••••• M••••••••• L••left Feb 13, 2018, registered Feb 21, 2018 (8 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• O•• A•••••••• L••left Jan 6, 2017, registered Dec 20, 2016 (-17 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 16, 2013, registered Sep 27, 2013 (11 days) · Wirehouse to wirehouse
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address