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.
J•••••• B•••
- C•••••• S••••• • C••• I••• national BD currentsince May 21, 2025 · Westlake, Tx
- V••••••• A•••••••• I••• BD affiliatedJun 3, 2022 to May 15, 2025 · Plano, Tx
- P••••••• C•••••• A••••••• C••••••••• formerAug 20, 2020 to May 13, 2022 · Dallas, Tx
- E•••••• C•••••• M••••••••• L•• formerOct 22, 2018 to Aug 21, 2019 · Dallas, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 9, 2015 to Sep 7, 2018 · Fort Worth, Tx
- T• A••••••••• I••• formerMar 9, 2015 to Sep 7, 2018 · Westlake, Tx
- V••••••• A•••••••• I••• to C•••••• S••••• • C••• I•••left May 15, 2025, registered May 21, 2025 (6 days) · Affiliated broker-dealer or bank to another
- P••••••• C•••••• A••••••• C••••••••• to V••••••• A•••••••• I•••left May 13, 2022, registered Jun 3, 2022 (21 days) · RIA to affiliated broker-dealer or bank
- E•••••• C•••••• M••••••••• L•• to P••••••• C•••••• A••••••• C•••••••••left Aug 21, 2019, registered Aug 20, 2020 (365 days) · RIA to RIA
- T• A••••••••• I••••••••• M••••••••• L•• to E•••••• C•••••• M••••••••• L••left Sep 7, 2018, registered Oct 22, 2018 (45 days) · RIA to RIA
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 7, 2018, registered Mar 9, 2015 (-1278 days) · channel change inside one enterprise, not a move · moved with a team
- J•••••• B••• left V••••••• A•••••••• I••• for C•••••• S••••• • C••• I••• (registered 2025-05-21)May 15, 2025 · Advisor changed firm · fact
- J•••••• B••• left P••••••• C•••••• A••••••• C••••••••• for V••••••• A•••••••• I••• (registered 2022-06-03)May 13, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address