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.
D••••• K••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Southlake, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 13, 2022 to Mar 31, 2025 · Southlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 22, 2011 to Jun 29, 2018 · Stamford, Ct
- T• A••••••••• I••• formerAug 22, 2011 to Oct 7, 2021 · Fort Worth, Tx
- C•••••• S••••• • C••• I••• national BDNov 11, 2008 to Aug 25, 2011 · Englewood, Co
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 7, 2021, registered Sep 13, 2022 (341 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jun 29, 2018, registered Aug 22, 2011 (-2503 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 25, 2011, registered Aug 22, 2011 (-3 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address