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•••• D••••• G••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Apr 29, 2016 · Austin, Tx
- F•••••••• T••••••• I••• formerJan 6, 2012 to Aug 20, 2014 · San Rafael, Ca
- H••••••••• E•••••••• B•••••••• L•• unclassifiedMar 7, 2011 to Dec 31, 2011 · Dallas, Tx
- L•••• F••• A••••••• S••••••• BD affiliatedJul 3, 2008 to May 10, 2011 · Dallas, Tx
- S••••••••• A•••••• A•••••••• I••• formerOct 24, 2006 to Jul 7, 2008 · Dallas, Tx
- F•••••••• T••••••• I••• to K••••• A••••••• S•••••••• L••left Aug 20, 2014, registered Apr 29, 2016 (618 days) · Other
- H••••••••• E•••••••• B•••••••• L•• to F•••••••• T••••••• I•••left Dec 31, 2011, registered Jan 6, 2012 (6 days) · Other
- L•••• F••• A••••••• S••••••• to H••••••••• E•••••••• B•••••••• L••left May 10, 2011, registered Mar 7, 2011 (-64 days) · Other
- S••••••••• A•••••• A•••••••• I••• to L•••• F••• A••••••• S•••••••left Jul 7, 2008, registered Jul 3, 2008 (-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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address