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.
- M••••• S•••••• wirehouse currentsince Dec 4, 2025 · Plano, Tx
- J••• M••••• S••••••••• L•• wirehouseAug 20, 2018 to Nov 20, 2025 · Plano, Tx
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIADec 1, 2017 to Mar 29, 2018 · Scottsdale, Az
- L•• F•••••••• L•• BD affiliatedNov 29, 2017 to Dec 21, 2017 · Dallas, Tx
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJan 9, 2017 to Nov 29, 2017 · Dallas, Tx
- S•••••••• A••••••• L•• national BDMay 17, 2016 to Jan 6, 2017 · Westlake, Tx
- J••• M••••• S••••••••• L•• to M••••• S••••••left Nov 20, 2025, registered Dec 4, 2025 (14 days) · Wirehouse to wirehouse
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to J••• M••••• S••••••••• L••left Mar 29, 2018, registered Aug 20, 2018 (144 days) · Other
- L•• F•••••••• L•• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Dec 21, 2017, registered Dec 1, 2017 (-20 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Nov 29, 2017, registered Nov 29, 2017 (0 days) · Other · moved with a team
- S•••••••• A••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Jan 6, 2017, registered Jan 9, 2017 (3 days) · Other
- J••••• W••••• left J••• M••••• S••••••••• L•• for M••••• S•••••• (registered 2025-12-04)Nov 20, 2025 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address