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••• R••••••• H•••••
- A••••••• F••••••••• L••• BD affiliated currentsince Jun 2, 2022 · Albuquerque, Nm
- U•• W••••• A••••••• formerNov 9, 2004 to Jun 30, 2022 · Albuquerque, Nm
- U•••••••• A••••••• S••••••• I•• unclassifiedFeb 12, 2003 to Jul 8, 2005 · Albuquerque, Nm
- U•• W••••• A••••••• to A••••••• F••••••••• L•••left Jun 30, 2022, registered Jun 2, 2022 (-28 days) · RIA to affiliated broker-dealer or bank · moved with a team
- U•••••••• A••••••• S••••••• I•• to U•• W••••• A•••••••left Jul 8, 2005, registered Nov 9, 2004 (-241 days) · Other
- K••• R••••••• H••••• left U•• W••••• A••••••• for A••••••• F••••••••• L••• (registered 2022-06-02)Jun 30, 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
- 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