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••••• W•••••••••
- G•• F•••••••• S••••••• O• G•• F•••••••• state registered currentsince Nov 23, 2018 · Austin, Tx
- K••••• A••••••• S•••••••• L•• BD affiliatedMar 6, 2017 to Dec 12, 2018 · Austin, Tx
- M••••• W••••• A••••••• independent RIAMar 3, 2015 to Feb 1, 2017 · Austin, Tx
- C•••••• M••••••••• F•••••••• A••••••• independent RIAApr 1, 2008 to Mar 6, 2015 · Austin, Tx
- U••• F•••••••• P••••••• S••••••• formerMar 19, 2003 to Mar 3, 2008 · San Antonio, Tx
- C•••••• S••••• • C••• I••• national BDSep 9, 2002 to Feb 26, 2003 · Ft. Worth, Tx
- K••••• A••••••• S•••••••• L•• to G•• F•••••••• S••••••• O• G•• F••••••••left Dec 12, 2018, registered Nov 23, 2018 (-19 days) · Affiliated broker-dealer or bank to a state-registered adviser
- M••••• W••••• A••••••• to K••••• A••••••• S•••••••• L••left Feb 1, 2017, registered Mar 6, 2017 (33 days) · Other
- C•••••• M••••••••• F•••••••• A••••••• to M••••• W••••• A•••••••left Mar 6, 2015, registered Mar 3, 2015 (-3 days) · Other
- U••• F•••••••• P••••••• S••••••• to C•••••• M••••••••• F•••••••• A•••••••left Mar 3, 2008, registered Apr 1, 2008 (29 days) · Other
- C•••••• S••••• • C••• I••• to U••• F•••••••• P••••••• S•••••••left Feb 26, 2003, registered Mar 19, 2003 (21 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address