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.
J•••• M•••••• P••••
- K••• P••••• L•• independent RIA currentsince Oct 3, 2014 · Richmond, Va
- W•• A•••••••• L• formerAug 27, 2009 to Sep 8, 2014 · Dallas, Tx
- V•••• F•••••••• A•••••••• I••• BD affiliatedMar 7, 2001 to Jul 28, 2008 · Houston, Tx
- W•• A•••••••• L• to K••• P••••• L••left Sep 8, 2014, registered Oct 3, 2014 (25 days) · Other
- V•••• F•••••••• A•••••••• I••• to W•• A•••••••• L•left Jul 28, 2008, registered Aug 27, 2009 (395 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address