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•••••••• L••••••
- F•••• C•••••• A••••••• S••••••• BD affiliated currentsince Aug 11, 2026 · Grand Prairie, Tx
- A••••••• F••••••••• L••• BD affiliatedJul 10, 2024 to Jan 9, 2026 · Folsom, Ca
- M••••• S•••••• wirehouseAug 12, 2022 to Jun 21, 2024 · Clayton, Mo
- A••••••• F••••••••• L••• to F•••• C•••••• A••••••• S•••••••left Jan 9, 2026, registered Aug 11, 2026 (214 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to A••••••• F••••••••• L•••left Jun 21, 2024, registered Jul 10, 2024 (19 days) · Wirehouse to affiliated broker-dealer or bank
- R•••• C•••••••• L•••••• left A••••••• F••••••••• L••• for F•••• C•••••• A••••••• S••••••• (registered 2026-08-11)Jan 9, 2026 · Advisor changed firm · fact
- R•••• C•••••••• L•••••• left M••••• S•••••• for A••••••• F••••••••• L••• (registered 2024-07-10)Jun 21, 2024 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address