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.
C••••••••• J•••• C•••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 17, 2026 · Bastrop, Tx
- D••••••• W••••• M••••••••• L•• independent RIAJul 15, 2021 to Jul 20, 2026 · Taylor, Tx
- A••••• P•••••• W•••••• L•• formerJul 18, 2019 to Jun 30, 2020 · A•••••, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDJul 29, 2014 to Jul 23, 2019 · Austin, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 17, 2013 to Jun 4, 2014 · A•••••, Tx
- D••••••• W••••• M••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jul 20, 2026, registered Jul 17, 2026 (-3 days) · RIA to affiliated broker-dealer or bank
- A••••• P•••••• W•••••• L•• to D••••••• W••••• M••••••••• L••left Jun 30, 2020, registered Jul 15, 2021 (380 days) · RIA to RIA
- A••••••••• F•••••••• S•••••••• L•• to A••••• P•••••• W•••••• L••left Jul 23, 2019, registered Jul 18, 2019 (-5 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Jun 4, 2014, registered Jul 29, 2014 (55 days) · Wirehouse to affiliated broker-dealer or bank
- C••••••••• J•••• C••••••••• left D••••••• W••••• M••••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2026-07-17)Jul 20, 2026 · 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address