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.
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K•••• L•••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince May 2, 2024 · Plymouth, Mn
- T•• R••••••••• G••••• L•• formerJan 25, 2018 to May 31, 2024 · Colleyville, Tx
- T•• R••••••••• G••••• L•• formerFeb 23, 2015 to Dec 31, 2017 · Colleyville, Tx
- F•• S••••••••• C••••••••• formerJul 27, 2005 to Apr 18, 2016 · Grapevine, Tx
- R•••••• J•••• • A••••••••• I••• national BDJun 17, 2003 to Jul 21, 2005 · Fort Worth, Tx
- U•• F•••••••• S••••••• I••• wirehouseAug 14, 2000 to Jun 3, 2003 · Fort Worth, Tx
- T•• R••••••••• G••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left May 31, 2024, registered May 2, 2024 (-29 days) · RIA to RIA · moved with a team
- F•• S••••••••• C••••••••• to T•• R••••••••• G••••• L••left Apr 18, 2016, registered Feb 23, 2015 (-420 days) · Other · moved with a team
- R•••••• J•••• • A••••••••• I••• to F•• S••••••••• C•••••••••left Jul 21, 2005, registered Jul 27, 2005 (6 days) · Other
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Jun 3, 2003, registered Jun 17, 2003 (14 days) · Wirehouse to affiliated broker-dealer or bank
- K•••• L••••• left T•• R••••••••• G••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-05-02)May 31, 2024 · Advisor changed firm · fact
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address