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.
D•••• S••• C•••
- G••••• W••••• M••••••••• I••• BD affiliated currentsince Jun 25, 2013 · Addison, Tx
- H•••••• T••••••• • K•••• L•• independent RIAAug 24, 2004 to Jul 1, 2013 · Grapevine, Tx
- N•• E•••••• S••••••••• C••••••••• formerJul 3, 2002 to Aug 20, 2004 · Dallas, Tx
- H•••••• T••••••• • K•••• L•• to G••••• W••••• M••••••••• I•••left Jul 1, 2013, registered Jun 25, 2013 (-6 days) · Other
- N•• E•••••• S••••••••• C••••••••• to H•••••• T••••••• • K•••• L••left Aug 20, 2004, registered Aug 24, 2004 (4 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address