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.
B•••• W•••• E•••••••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Apr 25, 2017 · Austin, Tx
- L•• F•••••••• L•• BD affiliatedDec 5, 2011 to May 4, 2017 · Plano, Tx
- S••••• S••••••••• I••• independent RIAApr 15, 2010 to Dec 6, 2011 · Plano, Tx
- L•• F•••••••• L•• BD affiliatedJan 15, 2004 to Mar 22, 2010 · Richardson, Tx
- U•• F•••••••• S••••••• I••• wirehouseSep 7, 1999 to Feb 3, 2004 · Addison, Tx
- L•• F•••••••• L•• to K••••• A••••••• S•••••••• L••left May 4, 2017, registered Apr 25, 2017 (-9 days) · Other · moved with a team
- S••••• S••••••••• I••• to L•• F•••••••• L••left Dec 6, 2011, registered Dec 5, 2011 (-1 days) · Other
- L•• F•••••••• L•• to S••••• S••••••••• I•••left Mar 22, 2010, registered Apr 15, 2010 (24 days) · Other
- U•• F•••••••• S••••••• I••• to L•• F•••••••• L••left Feb 3, 2004, registered Jan 15, 2004 (-19 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address