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.
E•••••• I••• R••••••••
- F••••• I••••••••• independent RIA currentsince Jan 15, 2026 · Plano, Tx
- M••••• S•••••• wirehouseMar 25, 2025 to Nov 17, 2025 · Gilbert, Az
- L•• F•••••••• L•• BD affiliatedJul 19, 2023 to Mar 19, 2025 · San Luis, Az
- B••••••• I••••••••• S•••••••• I••• ••••• formerFeb 10, 2023 to Jul 19, 2023 · Tempe, Az
- F••••• I••••••••• independent RIADec 11, 2019 to Jan 2, 2023 · Plano, Tx
- B••••••• I••••••••• S•••••••• I••• ••••• formerSep 21, 2018 to Nov 8, 2019 · Tempe, Az
- M••••• S•••••• to F••••• I•••••••••left Nov 17, 2025, registered Jan 15, 2026 (59 days) · Wirehouse to independent RIA
- L•• F•••••••• L•• to M••••• S••••••left Mar 19, 2025, registered Mar 25, 2025 (6 days) · Affiliated broker-dealer or bank to wirehouse
- B••••••• I••••••••• S•••••••• I••• ••••• to L•• F•••••••• L••left Jul 19, 2023, registered Jul 19, 2023 (0 days) · corporate re-registration, not a move
- F••••• I••••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Jan 2, 2023, registered Feb 10, 2023 (39 days) · RIA to affiliated broker-dealer or bank
- B••••••• I••••••••• S•••••••• I••• ••••• to F••••• I•••••••••left Nov 8, 2019, registered Dec 11, 2019 (33 days) · Affiliated broker-dealer or bank to independent RIA
- E•••••• I••• R•••••••• left M••••• S•••••• for F••••• I••••••••• (registered 2026-01-15)Nov 17, 2025 · Advisor changed firm · fact
- E•••••• I••• R•••••••• left L•• F•••••••• L•• for M••••• S•••••• (registered 2025-03-25)Mar 19, 2025 · Advisor changed firm · fact
- E•••••• I••• R•••••••• left F••••• I••••••••• for B••••••• I••••••••• S•••••••• I••• ••••• (registered 2023-02-10)Jan 2, 2023 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address