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.
R•••• M•••• K••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 8, 2025 · Austin, Tx
- R••••••• C••••••••• G••••• I••• state registered currentsince Aug 31, 2019 · Austin, Tx
- F•• S••••••••• C••••••••• formerAug 16, 2019 to Jan 3, 2022 · Austin, Tx
- L•• F•••••••• L•• BD affiliatedSep 16, 2013 to Sep 4, 2019 · Palos Heights, Il
- L•• F•••••••• L•• BD affiliatedFeb 13, 2012 to Sep 16, 2013 · Chicago, Il
- F•• S••••••••• C••••••••• to R••••••• C••••••••• G••••• I•••left Jan 3, 2022, registered Aug 31, 2019 (-856 days) · Affiliated broker-dealer or bank to a state-registered adviser
- L•• F•••••••• L•• to F•• S••••••••• C•••••••••left Sep 4, 2019, registered Aug 16, 2019 (-19 days) · Affiliated broker-dealer or bank to another
- R•••• M•••• K•••• left F•• S••••••••• C••••••••• for R••••••• C••••••••• G••••• I••• (registered 2019-08-31)Jan 3, 2022 · Advisor changed firm · 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
- STATE REGISTEREDderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address