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•••••• C•••••• S••••
- A••••••• W••••• A••••••• BD affiliated currentsince Jun 3, 2026 · Arlington, Tx
- A•••• W••••• A•••••••• L•• BD affiliatedAug 26, 2025 to May 1, 2026 · Chicago, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 17, 2022 to May 27, 2025 · Dallas, Tx
- C••• P•••••• A•••••••• L•• formerAug 17, 2022 to Jun 30, 2010 · Dallas, Tx
- F•••• I••••••••• S••••••• BD affiliatedMar 7, 2022 to Aug 4, 2022 · San Antonio, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 27, 2018 to Feb 25, 2022 · Dallas, Tx
- C••• P•••••• A•••••••• L•• formerApr 27, 2018 to Dec 31, 2018 · Dallas, Tx
- W•••• F•••• A••••••• wirehouseJun 2, 2016 to Mar 20, 2018 · Salt Lake City, Ut
- A•••• W••••• A•••••••• L•• to A••••••• W••••• A•••••••left May 1, 2026, registered Jun 3, 2026 (33 days) · Affiliated broker-dealer or bank to another
- C•••••••• G••••• M•••••• I••• to A•••• W••••• A•••••••• L••left May 27, 2025, registered Aug 26, 2025 (91 days) · Affiliated broker-dealer or bank to another
- F•••• I••••••••• S••••••• to C••• P•••••• A•••••••• L••left Aug 4, 2022, registered Aug 17, 2022 (13 days) · Other
- C•••••••• G••••• M•••••• I••• to F•••• I••••••••• S•••••••left Feb 25, 2022, registered Mar 7, 2022 (10 days) · Affiliated broker-dealer or bank to another
- C••• P•••••• A•••••••• L•• to C•••••••• G••••• M•••••• I•••left Dec 31, 2018, registered Apr 27, 2018 (-248 days) · channel change inside one enterprise, not a move
- W•••• F•••• A••••••• to C••• P•••••• A•••••••• L••left Mar 20, 2018, registered Apr 27, 2018 (38 days) · Other
- C••• P•••••• A•••••••• L•• to C•••••••• G••••• M•••••• I•••left Jun 30, 2010, registered Aug 17, 2022 (4431 days) · corporate re-registration, not a move
- R•••••• C•••••• S•••• left A•••• W••••• A•••••••• L•• for A••••••• W••••• A••••••• (registered 2026-06-03)May 1, 2026 · Advisor changed firm · fact
- R•••••• C•••••• S•••• left C•••••••• G••••• M•••••• I••• for A•••• W••••• A•••••••• L•• (registered 2025-08-26)May 27, 2025 · Advisor changed firm · fact
- R•••••• C•••••• S•••• left F•••• I••••••••• S••••••• for C••• P•••••• A•••••••• L•• (registered 2022-08-17)Aug 4, 2022 · Advisor changed firm · fact
- R•••••• C•••••• S•••• left C•••••••• G••••• M•••••• I••• for F•••• I••••••••• S••••••• (registered 2022-03-07)Feb 25, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address