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.
K••••••• K•• K••••
- Y••• P••• F•••••••• L•• state registered currentsince Oct 22, 2018 · Adkins, Tx
- G••••• V••• C•••••• M••••••••• L•• independent RIAJan 2, 2014 to Oct 25, 2018 · Dallas, Tx
- T•• S•••••••• F•••••••• A••••••• BD affiliatedFeb 19, 2013 to Dec 31, 2013 · Waukesha, Wi
- L•• F•••••••• L•• BD affiliatedDec 11, 2009 to Mar 4, 2013 · Denton, Tx
- I••••••••• A••••••• I••••••••• I••• unclassifiedJul 7, 2006 to Dec 4, 2009 · El Cajon, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJun 7, 2004 to Aug 23, 2006 · Santee, Ca
- G••••• V••• C•••••• M••••••••• L•• to Y••• P••• F•••••••• L••left Oct 25, 2018, registered Oct 22, 2018 (-3 days) · RIA to a state-registered adviser
- T•• S•••••••• F•••••••• A••••••• to G••••• V••• C•••••• M••••••••• L••left Dec 31, 2013, registered Jan 2, 2014 (2 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to T•• S•••••••• F•••••••• A•••••••left Mar 4, 2013, registered Feb 19, 2013 (-13 days) · Other
- I••••••••• A••••••• I••••••••• I••• to L•• F•••••••• L••left Dec 4, 2009, registered Dec 11, 2009 (7 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to I••••••••• A••••••• I••••••••• I•••left Aug 23, 2006, registered Jul 7, 2006 (-47 days) · corporate re-registration, not a move
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address