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•••••
- I••••••••• P•••••• W•••••• L•• independent RIA currentsince Jul 11, 2018 · Austin, Tx
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jun 19, 2018 · Minneapolis, Mn
- W•••• F•••• I••••••••• L•• unclassifiedMar 5, 2004 to Jan 3, 2011 · Austin, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 16, 2002 to Feb 9, 2004 · Austin, Tx
- W•••• F•••• A••••••• to I••••••••• P•••••• W•••••• L••left Jun 19, 2018, registered Jul 11, 2018 (22 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• I••••••••• L••left Feb 9, 2004, registered Mar 5, 2004 (25 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address