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.
J••••••• A••••• K••••••
- O••• W••••• M••••••••• state registered currentsince Oct 5, 2020 · Houston, Tx
- S•••••••• F•••••••• C•••••••• L•• independent RIAMar 30, 2018 to Nov 4, 2020 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedFeb 13, 2015 to Sep 19, 2018 · Dear Park, Tx
- S•••••••• F•••••••• C•••••••• L•• to O••• W••••• M•••••••••left Nov 4, 2020, registered Oct 5, 2020 (-30 days) · RIA to a state-registered adviser
- L•• F•••••••• L•• to S•••••••• F•••••••• C•••••••• L••left Sep 19, 2018, registered Mar 30, 2018 (-173 days) · RIA to RIA
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address