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••• I••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Aug 8, 2025 · Houston, Tx
- M••••• S•••••• wirehouseApr 21, 2025 to Aug 11, 2025 · Houston, Tx
- C••• P•••••• A•••••••• L•• formerJan 31, 2022 to Jun 30, 2010 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 31, 2022 to Mar 26, 2025 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseMay 24, 2017 to Jan 3, 2022 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 2, 2013 to May 3, 2017 · The Woodlands, Tx
- M••••• S•••••• to J••• M••••• S••••••••• L••left Aug 11, 2025, registered Aug 8, 2025 (-3 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Mar 26, 2025, registered Apr 21, 2025 (26 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to C••• P•••••• A•••••••• L••left Jan 3, 2022, registered Jan 31, 2022 (28 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left May 3, 2017, registered May 24, 2017 (21 days) · Wirehouse to wirehouse
- C••• P•••••• A•••••••• L•• to C•••••••• G••••• M•••••• I•••left Jun 30, 2010, registered Jan 31, 2022 (4233 days) · corporate re-registration, not a move
- S••• I•••••• left M••••• S•••••• for J••• M••••• S••••••••• L•• (registered 2025-08-08)Aug 11, 2025 · Advisor changed firm · fact
- S••• I•••••• left C•••••••• G••••• M•••••• I••• for M••••• S•••••• (registered 2025-04-21)Mar 26, 2025 · Advisor changed firm · fact
- S••• I•••••• left J••• M••••• S••••••••• L•• for C••• P•••••• A•••••••• L•• (registered 2022-01-31)Jan 3, 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
- Wirehousederived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address