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.
N•••• K•••• K•••••••
- O•••• I••••••••• I••• BD affiliated currentsince Nov 1, 2021 · San Antonio, Tx
- C••• F•••••••• S•••••••• L••• formerNov 21, 2011 to Oct 25, 2021 · San Antonio, Tx
- S••• I••••••••• C•••••• independent RIASep 11, 2008 to Nov 22, 2011 · San Antonio, Tx
- L•• F•••••••• L•• BD affiliatedMay 27, 2008 to Sep 4, 2008 · Laredo, Tx
- C••• F•••••••• S•••••••• L••• to O•••• I••••••••• I•••left Oct 25, 2021, registered Nov 1, 2021 (7 days) · Affiliated broker-dealer or bank to another
- S••• I••••••••• C•••••• to C••• F•••••••• S•••••••• L•••left Nov 22, 2011, registered Nov 21, 2011 (-1 days) · Other
- L•• F•••••••• L•• to S••• I••••••••• C••••••left Sep 4, 2008, registered Sep 11, 2008 (7 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address