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.
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S••••• K••••
- H•••••• S••••••••• I••• BD affiliated currentsince Sep 1, 2024 · Dallas, Tx
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Sep 4, 2024 · Atlanta, Ga
- B••• S••••••••• L•• formerMay 6, 2016 to Feb 17, 2021 · Dallas, Tx
- R•• C•••••• M••••••• L•• national BDSep 29, 2006 to May 20, 2016 · Dallas, Tx
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Oct 26, 2006 · Dallas, Tx
- P••••••• L•• unclassifiedFeb 14, 2001 to Jan 17, 2003 · Dallas, Tx
- T••••• A••••••• S•••••••• I••• to H•••••• S••••••••• I•••left Sep 4, 2024, registered Sep 1, 2024 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- R•• C•••••• M••••••• L•• to B••• S••••••••• L••left May 20, 2016, registered May 6, 2016 (-14 days) · Other · moved with a team
- C••••• S••••• S••••••••• •••• L•• to R•• C•••••• M••••••• L••left Oct 26, 2006, registered Sep 29, 2006 (-27 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (0 days) · corporate re-registration, not a move
- S••••• K•••• left T••••• A••••••• S•••••••• I••• for H•••••• S••••••••• I••• (registered 2024-09-01)Sep 4, 2024 · Advisor changed firm · 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address