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••••• L•••• B•••••
- S•• BD affiliated currentsince Sep 25, 2015 · Ann Arbor, Mi
- U••• R•• L•• formerAug 16, 2013 to Sep 25, 2015 · Houston, Tx
- W•••• F•••• A••••••• wirehouseAug 16, 2006 to Aug 19, 2013 · Austin, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 20, 2002 to Aug 17, 2006 · Des Moines, Ia
- U••• R•• L•• to S••left Sep 25, 2015, registered Sep 25, 2015 (0 days) · Other
- W•••• F•••• A••••••• to U••• R•• L••left Aug 19, 2013, registered Aug 16, 2013 (-3 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Aug 17, 2006, registered Aug 16, 2006 (-1 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