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.
S•••••• L••• K•••••
- F•••• C•••••• A••••••• S••••••• BD affiliated currentsince Apr 1, 2022 · Fort Worth, Tx
- L•• F•••••••• L•• BD affiliatedOct 1, 2018 to Mar 30, 2022 · Austin, Tx
- L•• F•••••••• L•• BD affiliatedDec 16, 2014 to Oct 13, 2016 · Austin, Tx
- N•• A•••••• S•••••••• L•• formerNov 11, 2008 to Nov 19, 2014 · Austin, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 22, 1999 to Nov 6, 2008 · Houston, Tx
- L•• F•••••••• L•• to F•••• C•••••• A••••••• S•••••••left Mar 30, 2022, registered Apr 1, 2022 (2 days) · RIA to affiliated broker-dealer or bank
- N•• A•••••• S•••••••• L•• to L•• F•••••••• L••left Nov 19, 2014, registered Dec 16, 2014 (27 days) · Other
- M•• I•••••••• S•••••••• L•• to N•• A•••••• S•••••••• L••left Nov 6, 2008, registered Nov 11, 2008 (5 days) · Other
- S•••••• L••• K••••• left L•• F•••••••• L•• for F•••• C•••••• A••••••• S••••••• (registered 2022-04-01)Mar 30, 2022 · a•••••• firm change · 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address