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•••• E•••••••• W•••••
- A••••••• F•••••••• A•••••••• L•• BD affiliated currentsince May 25, 2018 · Boerne, Tx
- W•••• F•••• A••••••• wirehouseDec 4, 2013 to May 7, 2018 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseDec 21, 2011 to Jun 4, 2013 · Mclean, Va
- H• B•••• I••• formerJul 23, 2007 to Dec 16, 2011 · Rockville, Md
- F•••••• B•••• W••••• L•• unclassifiedMay 12, 2005 to Feb 22, 2007 · Washington, Dc
- W•••• F•••• A••••••• to A••••••• F•••••••• A•••••••• L••left May 7, 2018, registered May 25, 2018 (18 days) · Wirehouse to affiliated broker-dealer or bank
- H• B•••• I••• to W•••• F•••• A•••••••left Dec 16, 2011, registered Dec 21, 2011 (5 days) · Other
- F•••••• B•••• W••••• L•• to H• B•••• I•••left Feb 22, 2007, registered Jul 23, 2007 (151 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address