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•••• D••••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Jan 4, 2023 · Austin, Tx
- H••••••• W••••• M••••••••• L•• formerJun 1, 2020 to Jan 6, 2023 · San Antonio, Tx
- L•• F•••••••• L•• BD affiliatedSep 15, 2016 to Jun 1, 2020 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerOct 5, 2010 to Sep 22, 2016 · San Antonio, Tx
- N•• A•••••• S•••••••• L•• formerSep 7, 2006 to Sep 7, 2010 · Austin, Tx
- E•••••••• A•••••••• L•• national BDOct 9, 2003 to Aug 22, 2006 · New Orleans, La
- H••••••• W••••• M••••••••• L•• to K••••• A••••••• S•••••••• L••left Jan 6, 2023, registered Jan 4, 2023 (-2 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to H••••••• W••••• M••••••••• L••left Jun 1, 2020, registered Jun 1, 2020 (0 days) · Affiliated broker-dealer or bank to independent RIA
- U••• F•••••••• P••••••• S••••••• to L•• F•••••••• L••left Sep 22, 2016, registered Sep 15, 2016 (-7 days) · Other
- N•• A•••••• S•••••••• L•• to U••• F•••••••• P••••••• S•••••••left Sep 7, 2010, registered Oct 5, 2010 (28 days) · Other
- E•••••••• A•••••••• L•• to N•• A•••••• S•••••••• L••left Aug 22, 2006, registered Sep 7, 2006 (16 days) · Other
- J•••• D•••••• left H••••••• W••••• M••••••••• L•• for K••••• A••••••• S•••••••• L•• (registered 2023-01-04)Jan 6, 2023 · a•••••• firm change · fact
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address