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.
A••••• F• W•••••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Sep 22, 2017 · Austin, Tx
- W•• A•••••••• L• formerJan 20, 2010 to Aug 24, 2017 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 31, 2007 to Jan 14, 2010 · Dallas, Tx
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Sep 6, 2007 · Dallas, Tx
- M••••• S•••••• D• I••• unclassifiedNov 10, 2003 to Apr 2, 2007 · Dallas, Tx
- H•••••• S••••••••• I••• BD affiliatedJan 19, 2001 to Nov 21, 2003 · Dallas, Tx
- W•• A•••••••• L• to K••••• A••••••• S•••••••• L••left Aug 24, 2017, registered Sep 22, 2017 (29 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•• A•••••••• L•left Jan 14, 2010, registered Jan 20, 2010 (6 days) · Other
- M••••• S•••••• • C•• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 6, 2007, registered Aug 31, 2007 (-6 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- H•••••• S••••••••• I••• to M••••• S•••••• D• I•••left Nov 21, 2003, registered Nov 10, 2003 (-11 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address