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•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Spring, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDSep 11, 2013 to Jul 13, 2018 · The Woodlands, Tx
- S•••••••• A••••••• L•• national BDJun 1, 2011 to Feb 4, 2013 · Portland, Or
- W•••• F•••• I••••••••• L•• unclassifiedMar 16, 2010 to Nov 23, 2010 · Brainerd, Mn
- C•••• I••••••••• S••••••• C•••• formerSep 24, 2009 to Jan 20, 2010 · Bellaire, Tx
- W•••• F•••• I••••••••• L•• unclassifiedApr 7, 2009 to Aug 31, 2009 · Pequot Lakes, Mn
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Mar 20, 2006 · Houston, Tx
- B••• O•• S••••••••• C••••••••• unclassifiedJun 27, 2005 to Jul 6, 2005 · Houston, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- W•••• F•••• I••••••••• L•• to S•••••••• A••••••• L••left Nov 23, 2010, registered Jun 1, 2011 (190 days) · Other
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• I••••••••• L••left Jan 20, 2010, registered Mar 16, 2010 (55 days) · Other
- W•••• F•••• I••••••••• L•• to C•••• I••••••••• S••••••• C••••left Aug 31, 2009, registered Sep 24, 2009 (24 days) · Other
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• I••••••••• L••left Mar 20, 2006, registered Apr 7, 2009 (1114 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address