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.
- W••••• K•••••• state registered currentsince Feb 26, 2021 · Johnson City, Tx
- W••••• K•••••• state registeredSep 20, 2013 to Dec 31, 2020 · Johnson City, Tx
- M•••• C••••••• A••••••• S•••••• BD affiliatedNov 1, 2005 to Oct 5, 2012 · Johnson City, Tx
- G•• I••••••••• A•••••••• I••• state registeredSep 1, 2004 to Nov 1, 2005 · Lubbock, Tx
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJul 10, 2003 to Aug 11, 2004 · Johnson City, Tx
- C••••• A•••••• N••••••• L•• formerMay 1, 2003 to Jun 11, 2003 · Johnson City, Tx
- M•••• C••••••• A••••••• S•••••• to W••••• K••••••left Oct 5, 2012, registered Sep 20, 2013 (350 days) · Other
- G•• I••••••••• A•••••••• I••• to M•••• C••••••• A••••••• S••••••left Nov 1, 2005, registered Nov 1, 2005 (0 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to G•• I••••••••• A•••••••• I•••left Aug 11, 2004, registered Sep 1, 2004 (21 days) · Other
- C••••• A•••••• N••••••• L•• to T••••••••• F•••••••• A•••••••• L••left Jun 11, 2003, registered Jul 10, 2003 (29 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
- STATE REGISTEREDderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address