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•••• M••• R•••••
- S•••••• S••••••••• BD affiliated currentsince Aug 10, 2017 · Houston, Tx
- W•• A•••••••• L• formerAug 4, 2015 to Aug 3, 2017 · Coppell, Tx
- M•••••••• • M••••••• P••••••• W••••• M••••••••• unclassifiedOct 17, 2012 to Sep 29, 2017 · Dallas, Tx
- S•••••• S••••••••• BD affiliatedJan 4, 2011 to Oct 8, 2012 · Coppell, Tx
- E••••• I••••••••• A••••••• unclassifiedAug 10, 2009 to Jan 25, 2011 · Austin, Tx
- E••••• S••••••••• I••• unclassifiedDec 8, 2006 to Dec 31, 2010 · Coppell, Tx
- H•••••• S••••••••• I••• BD affiliatedOct 11, 1996 to Dec 12, 2006 · Dallas, Tx
- M•••••••• • M••••••• P••••••• W••••• M••••••••• to W•• A•••••••• L•left Sep 29, 2017, registered Aug 4, 2015 (-787 days) · Other
- W•• A•••••••• L• to S•••••• S•••••••••left Aug 3, 2017, registered Aug 10, 2017 (7 days) · Other · moved with a team
- S•••••• S••••••••• to M•••••••• • M••••••• P••••••• W••••• M•••••••••left Oct 8, 2012, registered Oct 17, 2012 (9 days) · Other
- E••••• I••••••••• A••••••• to S•••••• S•••••••••left Jan 25, 2011, registered Jan 4, 2011 (-21 days) · Other
- E••••• S••••••••• I••• to E••••• I••••••••• A•••••••left Dec 31, 2010, registered Aug 10, 2009 (-508 days) · Other
- H•••••• S••••••••• I••• to E••••• S••••••••• I•••left Dec 12, 2006, registered Dec 8, 2006 (-4 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address