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.
R••••• D•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Cleveland, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerDec 9, 2021 to Mar 31, 2025 · Salt Lake City, Ut
- V•••••• C•••••• M••••••••• I••• asset managerJan 22, 2021 to Sep 9, 2021 · San Antonio, Tx
- J••• M••••• S••••••••• L•• wirehouseMar 19, 2019 to Aug 28, 2019 · San Antonio, Tx
- W•••• F•••• A••••••• wirehouseJul 19, 2018 to Jan 3, 2019 · Canyon Lake, Tx
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedFeb 21, 2018 to Jun 12, 2018 · Plano, Tx
- P•••••••• A••••••• national BDSep 29, 2017 to Feb 12, 2018 · San Antonio, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- V•••••• C•••••• M••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 9, 2021, registered Dec 9, 2021 (91 days) · Other
- J••• M••••• S••••••••• L•• to V•••••• C•••••• M••••••••• I•••left Aug 28, 2019, registered Jan 22, 2021 (513 days) · Other · moved with a team
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Jan 3, 2019, registered Mar 19, 2019 (75 days) · Wirehouse to wirehouse
- T••••••••• F•••••••• A•••••••• L•• to W•••• F•••• A•••••••left Jun 12, 2018, registered Jul 19, 2018 (37 days) · Affiliated broker-dealer or bank to wirehouse
- P•••••••• A••••••• to T••••••••• F•••••••• A•••••••• L••left Feb 12, 2018, registered Feb 21, 2018 (9 days) · Other
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address