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••••• G•••• P•••••••••
- S•• C•••••• M••••••••• L•• independent RIA currentsince Feb 6, 2025 · Dallas, Tx
- E••• C•••••• G••••• L•• formerDec 15, 2022 to Feb 6, 2025 · Dallas, Tx
- U•• F•••••••• S••••••• I••• wirehouseAug 12, 2014 to Dec 12, 2022 · College Station, Tx
- E••• C•••••• G••••• L•• to S•• C•••••• M••••••••• L••left Feb 6, 2025, registered Feb 6, 2025 (0 days) · RIA to RIA · moved with a team
- U•• F•••••••• S••••••• I••• to E••• C•••••• G••••• L••left Dec 12, 2022, registered Dec 15, 2022 (3 days) · Wirehouse to independent RIA
- S••••• G•••• P••••••••• left E••• C•••••• G••••• L•• for S•• C•••••• M••••••••• L•• (registered 2025-02-06)Feb 6, 2025 · Advisor changed firm · fact
- S••••• G•••• P••••••••• left U•• F•••••••• S••••••• I••• for E••• C•••••• G••••• L•• (registered 2022-12-15)Dec 12, 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
- Independent wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address