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.
M•••••• O••• K•••
- O•••••••• state registered currentsince Mar 1, 2019 · Frisco, Tx
- 1•• G••••• A••••••• I•• formerMar 20, 2015 to Jul 26, 2018 · Dallas, Tx
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Aug 23, 2005 · Chicago, Il
- B••• O•• S••••••••• C••••••••• unclassifiedMay 18, 2005 to Jul 6, 2005 · Dallas, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 27, 2004 to May 6, 2005 · Dallas, Tx
- 1•• G••••• A••••••• I•• to O••••••••left Jul 26, 2018, registered Mar 1, 2019 (218 days) · Affiliated broker-dealer or bank to a state-registered adviser
- C•••• I••••••••• S••••••• C•••• to 1•• G••••• A••••••• I••left Aug 23, 2005, registered Mar 20, 2015 (3496 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to B••• O•• S••••••••• C•••••••••left May 6, 2005, registered May 18, 2005 (12 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
- STATE REGISTEREDderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address