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•••••• S•••••• L••••••
- 9•• G•••• independent RIA currentsince Nov 26, 2018 · Austin, Tx
- 9•• G•••• unclassifiedMar 29, 2018 to Dec 4, 2018 · Austin, Tx
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 19, 2016 to Sep 15, 2017 · Austin, Tx
- N•• A•••••• S•••••••• L•• formerDec 17, 2010 to Sep 22, 2016 · Austin, Tx
- L•• F•••••••• L•• BD affiliatedMar 1, 2008 to Nov 15, 2010 · Charlotte, Nc
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedSep 8, 2005 to Nov 15, 2010 · Charlotte, Nc
- S••••••• I••••••••• S•••••••• I••• formerJun 30, 2005 to Oct 6, 2005 · Atlanta, Ga
- T••••• S••••••••• I••• unclassifiedMay 4, 2005 to Jun 30, 2005 · Atlanta, Ga
- S••••••• I••••••••• S•••••••• I••• formerJan 12, 2005 to May 3, 2005 · Atlanta, Ga
- B•••• D••••••••• L•• unclassifiedJan 1, 2003 to Mar 8, 2004 · Charlotte, Nc
- S••••••• BD affiliatedMay 30, 2002 to Jan 1, 2003 · Charlotte , Nc
- 9•• G•••• to 9•• G••••left Dec 4, 2018, registered Nov 26, 2018 (-8 days) · Other · moved with a team
- K••••• A••••••• S•••••••• L•• to 9•• G••••left Sep 15, 2017, registered Mar 29, 2018 (195 days) · Other
- 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
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Nov 15, 2010, registered Mar 1, 2008 (-989 days) · Other
- L•• F•••••••• L•• to N•• A•••••• S•••••••• L••left Nov 15, 2010, registered Dec 17, 2010 (32 days) · Other
- S••••••• I••••••••• S•••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Oct 6, 2005, registered Sep 8, 2005 (-28 days) · Other
- T••••• S••••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Jun 30, 2005, registered Jun 30, 2005 (0 days) · Other
- S••••••• I••••••••• S•••••••• I••• to T••••• S••••••••• I•••left May 3, 2005, registered May 4, 2005 (1 days) · Other
- B•••• D••••••••• L•• to S••••••• I••••••••• S•••••••• I•••left Mar 8, 2004, registered Jan 12, 2005 (310 days) · Other
- S••••••• to B•••• D••••••••• L••left Jan 1, 2003, registered Jan 1, 2003 (0 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address