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.
W•••••• K••••• K•••••
- C•••••• S••••• • C••• I••• national BD currentsince Jul 21, 2021 · Westlake, Tx
- B•••• G••••• W••••• A•••••••• L•• independent RIAJan 19, 2012 to Jul 12, 2021 · Richardson, Tx
- L••••••••• W••••• A••••••• formerJun 24, 2011 to Nov 23, 2011 · Dallas, Tx
- A••••••• E•••••••• I••• formerFeb 16, 2011 to Jun 10, 2011 · Chicago, Il
- H•••••• • W•••• A•••• M••••••••• I••• BD affiliatedOct 15, 2009 to Dec 14, 2009 · Parsippany, Nj
- M••••• K••••• • C••••••• L•• formerMay 6, 2009 to Aug 25, 2009 · Dallas, Tx
- F••••• I••••••••• independent RIAJul 16, 2003 to May 11, 2009 · Plano, Tx
- H••••• F•••••••• S•••••••• L••• independent RIAMay 29, 2002 to Nov 30, 2007 · Dallas, Tx
- B•••• G••••• W••••• A•••••••• L•• to C•••••• S••••• • C••• I•••left Jul 12, 2021, registered Jul 21, 2021 (9 days) · RIA to affiliated broker-dealer or bank
- L••••••••• W••••• A••••••• to B•••• G••••• W••••• A•••••••• L••left Nov 23, 2011, registered Jan 19, 2012 (57 days) · Other
- A••••••• E•••••••• I••• to L••••••••• W••••• A•••••••left Jun 10, 2011, registered Jun 24, 2011 (14 days) · Other
- H•••••• • W•••• A•••• M••••••••• I••• to A••••••• E•••••••• I•••left Dec 14, 2009, registered Feb 16, 2011 (429 days) · Other
- M••••• K••••• • C••••••• L•• to H•••••• • W•••• A•••• M••••••••• I•••left Aug 25, 2009, registered Oct 15, 2009 (51 days) · Other
- F••••• I••••••••• to M••••• K••••• • C••••••• L••left May 11, 2009, registered May 6, 2009 (-5 days) · Other
- H••••• F•••••••• S•••••••• L••• to F••••• I•••••••••left Nov 30, 2007, registered Jul 16, 2003 (-1598 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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address