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.
J•••••• A••• B•••••••
- C•••••• S••••• • C••• I••• national BD currentsince Mar 18, 2021 · Chicago, Il
- C••••• A•••••• N••••••• L•• formerOct 16, 2018 to Apr 21, 2020 · Flower Mound, Tx
- K••••• A••••••• S•••••••• L•• BD affiliatedJan 3, 2017 to Sep 14, 2018 · Austin, Tx
- L•••• F••• A••••••• S••••••• BD affiliatedNov 9, 2016 to Dec 1, 2016 · Dallas, Tx
- C••••• A•••••• N••••••• L•• to C•••••• S••••• • C••• I•••left Apr 21, 2020, registered Mar 18, 2021 (331 days) · Affiliated broker-dealer or bank to another
- K••••• A••••••• S•••••••• L•• to C••••• A•••••• N••••••• L••left Sep 14, 2018, registered Oct 16, 2018 (32 days) · Affiliated broker-dealer or bank to another
- L•••• F••• A••••••• S••••••• to K••••• A••••••• S•••••••• L••left Dec 1, 2016, registered Jan 3, 2017 (33 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address