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••• T••••• H•••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Dec 14, 2015 · Las Vegas, Nv
- T••••• A••••••• S•••••••• L•• formerJun 11, 2013 to Dec 9, 2015 · Las Vegas, Nv
- H•••••• T••••••• • K•••• L•• independent RIAMay 7, 2012 to May 24, 2013 · Las Vegas, Nv
- W•••• F•••• A••••••• wirehouseOct 12, 2011 to Feb 1, 2012 · Henderson, Nv
- M••••• S•••••• wirehouseMar 11, 2011 to Apr 29, 2011 · Las Vegas, Nv
- C••••••• A•••• M••••••••• I•• unclassifiedJun 20, 2008 to Sep 18, 2009 · Henderson, Nv
- W•••• F•••• I••••••••• L•• unclassifiedJan 15, 2004 to Jul 27, 2006 · Las Vegas, Nv
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 9, 2000 to Sep 30, 2002 · Las Vegas, Nv
- T••••• A••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 9, 2015, registered Dec 14, 2015 (5 days) · Other · moved with a team
- H•••••• T••••••• • K•••• L•• to T••••• A••••••• S•••••••• L••left May 24, 2013, registered Jun 11, 2013 (18 days) · Other
- W•••• F•••• A••••••• to H•••••• T••••••• • K•••• L••left Feb 1, 2012, registered May 7, 2012 (96 days) · Other
- M••••• S•••••• to W•••• F•••• A•••••••left Apr 29, 2011, registered Oct 12, 2011 (166 days) · Wirehouse to wirehouse
- C••••••• A•••• M••••••••• I•• to M••••• S••••••left Sep 18, 2009, registered Mar 11, 2011 (539 days) · Other
- W•••• F•••• I••••••••• L•• to C••••••• A•••• M••••••••• I••left Jul 27, 2006, registered Jun 20, 2008 (694 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• I••••••••• L••left Sep 30, 2002, registered Jan 15, 2004 (472 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address