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 Jan 29, 2025 · Austin, Tx
- L•• F•••••••• L•• BD affiliatedMay 4, 2023 to Apr 2, 2024 · San Diego, Ca
- I• T••••••••• L•• independent RIAOct 5, 2018 to Mar 31, 2023 · Austin, Tx
- L•• F•••••••• L•• to M••••• S••••••left Apr 2, 2024, registered Jan 29, 2025 (302 days) · Affiliated broker-dealer or bank to wirehouse
- I• T••••••••• L•• to L•• F•••••••• L••left Mar 31, 2023, registered May 4, 2023 (34 days) · RIA to affiliated broker-dealer or bank
- K•••••• A• C••••••• left L•• F•••••••• L•• for M••••• S•••••• (registered 2025-01-29)Apr 2, 2024 · Advisor changed firm · fact
- K•••••• A• C••••••• left I• T••••••••• L•• for L•• F•••••••• L•• (registered 2023-05-04)Mar 31, 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address