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.
B••••• M• M•••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 30, 2025 · Pleasanton, Tx
- W•••• F•••• A••••••• wirehouseJun 12, 2025 to Oct 10, 2025 · Pleasanton, Tx
- E••••• J•••• national BDApr 18, 2025 to Jun 18, 2025 · Pleasanton, Tx
- W•••• F•••• A••••••• to L•• F•••••••• L••left Oct 10, 2025, registered Sep 30, 2025 (-10 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• J•••• to W•••• F•••• A•••••••left Jun 18, 2025, registered Jun 12, 2025 (-6 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- B••••• M• M••••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2025-09-30)Oct 10, 2025 · Advisor changed firm · fact
- B••••• M• M••••• left E••••• J•••• for W•••• F•••• A••••••• (registered 2025-06-12)Jun 18, 2025 · 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address