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•••• M••••••• M••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Oct 30, 2019 · The Woodlands, Tx
- L•• F•••••••• L•• BD affiliatedFeb 9, 2016 to Oct 21, 2019 · Freeport, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerOct 15, 2010 to Jan 13, 2016 · Houston, Tx
- S• J•••• W••••• M••••••••• unclassifiedApr 22, 2010 to Oct 15, 2010 · Austin, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to May 7, 2010 · Austin, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 13, 2008 to Jun 1, 2009 · Austin, Tx
- E••••• J•••• national BDMar 5, 2007 to Jun 18, 2008 · Austin, Tx
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Oct 21, 2019, registered Oct 30, 2019 (9 days) · Affiliated broker-dealer or bank to another
- P•• M•••••• A•••••• S••••••••• I••• to L•• F•••••••• L••left Jan 13, 2016, registered Feb 9, 2016 (27 days) · Other
- S• J•••• W••••• M••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Oct 15, 2010, registered Oct 15, 2010 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to S• J•••• W••••• M•••••••••left May 7, 2010, registered Apr 22, 2010 (-15 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- E••••• J•••• to C•••••••• G••••• M•••••• I•••left Jun 18, 2008, registered Jun 13, 2008 (-5 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address