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•••• L•••• C•••••••••
- O•••• W•••••• I••• BD affiliated currentsince Mar 1, 2007 · Tomball, Tx
- U••••• S••••••••• A•••••••• I••• unclassifiedJan 1, 2008 to Dec 31, 2010 · Englewood, Co
- U••••• S••••••••• A•••••••• I••• unclassifiedApr 27, 2007 to Dec 31, 2007 · Englewood, Co
- U••••• S••••••••• A•••••••• I••• unclassifiedJan 10, 2006 to Mar 1, 2007 · Tomball, Tx
- A•••• I••••••••• I••• formerDec 5, 2005 to Jan 6, 2006 · Houston, Tx
- U••••• S••••••••• A•••••••• I••• to no registered destinationleft Dec 31, 2010 · Departure, no registered destination
- U••••• S••••••••• A•••••••• I••• to O•••• W•••••• I•••left Mar 1, 2007, registered Mar 1, 2007 (0 days) · Other
- A•••• I••••••••• I••• to U••••• S••••••••• A•••••••• I•••left Jan 6, 2006, registered Jan 10, 2006 (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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address