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.
K•••••••• L•• G••••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Jan 3, 2018 · Austin, Tx
- S•• I••••••••• I••• formerJan 5, 2012 to Jan 3, 2018 · Austin, Tx
- N•• A•••••• S•••••••• L•• formerApr 4, 2007 to Jan 30, 2012 · Austin, Tx
- S•• I••••••••• I••• formerAug 13, 1998 to Apr 13, 2007 · Austin, Tx
- S•• I••••••••• I••• to K••••• A••••••• S•••••••• L••left Jan 3, 2018, registered Jan 3, 2018 (0 days) · Other · moved with a team
- N•• A•••••• S•••••••• L•• to S•• I••••••••• I•••left Jan 30, 2012, registered Jan 5, 2012 (-25 days) · Other
- S•• I••••••••• I••• to N•• A•••••• S•••••••• L••left Apr 13, 2007, registered Apr 4, 2007 (-9 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address