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.
L••••• H••••• K•••
- D••• H••• A•••••••• I••• independent RIA currentsince Feb 10, 2016 · Kingwood, Tx
- L•• H• K••• unclassifiedDec 14, 2010 to Dec 16, 2016 · Wilmington, Nc
- P••••••••• S••••••••• C••••••••• independent RIANov 29, 2007 to Mar 13, 2009 · Howell, Mo
- N••• F•••••••• G••••• I••• formerApr 2, 2007 to Nov 8, 2007 · Houston, Tx
- C••••••••• C•••••• S••••••••• I••• independent RIAJan 3, 2007 to Mar 30, 2007 · Fort Atkinson, Wi
- S•• BD affiliatedJul 8, 2002 to Dec 31, 2003 · Hartland, Mi
- L•• H• K••• to D••• H••• A•••••••• I•••left Dec 16, 2016, registered Feb 10, 2016 (-310 days) · Other
- P••••••••• S••••••••• C••••••••• to L•• H• K•••left Mar 13, 2009, registered Dec 14, 2010 (641 days) · Other
- N••• F•••••••• G••••• I••• to P••••••••• S••••••••• C•••••••••left Nov 8, 2007, registered Nov 29, 2007 (21 days) · Other
- C••••••••• C•••••• S••••••••• I••• to N••• F•••••••• G••••• I•••left Mar 30, 2007, registered Apr 2, 2007 (3 days) · Other
- S•• to C••••••••• C•••••• S••••••••• I•••left Dec 31, 2003, registered Jan 3, 2007 (1099 days) · Other
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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address