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••••• R•••• H•••
- C•••••• S••••• • C••• I••• national BD currentsince Aug 2, 2018 · Austin, Tx
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 19, 2016 to Apr 11, 2018 · Austin, Tx
- N•• A•••••• S•••••••• L•• formerDec 23, 2015 to Sep 22, 2016 · Austin, Tx
- C•••••• S••••• • C••• I••• national BDJun 23, 2014 to Dec 28, 2015 · Austin, Tx
- N•• A•••••• S•••••••• L•• formerAug 11, 2003 to Jan 6, 2014 · Austin, Tx
- C•••• I••••••••• S••••••• C•••• formerJan 24, 2003 to Aug 20, 2003 · Dallas, Tx
- K••••• A••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••left Apr 11, 2018, registered Aug 2, 2018 (113 days) · Affiliated broker-dealer or bank to another
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 19, 2016 (-156 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to N•• A•••••• S•••••••• L••left Dec 28, 2015, registered Dec 23, 2015 (-5 days) · Other
- N•• A•••••• S•••••••• L•• to C•••••• S••••• • C••• I•••left Jan 6, 2014, registered Jun 23, 2014 (168 days) · Other
- C•••• I••••••••• S••••••• C•••• to N•• A•••••• S•••••••• L••left Aug 20, 2003, registered Aug 11, 2003 (-9 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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address