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•••• R•••••• U•••••••
- P•• W••••• M••••••••• BD affiliated currentsince Jan 14, 2014 · Clayton, Mo
- U••• B•••••• I••••••••• I••• formerSep 4, 2008 to Jan 6, 2014 · Chesterfield, Mo
- S••• I••••••••• C•••••• independent RIAMar 4, 2008 to Jul 14, 2008 · San Antonio, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 1, 1998 to Jul 5, 2007 · Austin, Tx
- U••• B•••••• I••••••••• I••• to P•• W••••• M•••••••••left Jan 6, 2014, registered Jan 14, 2014 (8 days) · Other
- S••• I••••••••• C•••••• to U••• B•••••• I••••••••• I•••left Jul 14, 2008, registered Sep 4, 2008 (52 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to S••• I••••••••• C••••••left Jul 5, 2007, registered Mar 4, 2008 (243 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address