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•••• D••••• D•••
- C•••••• A••••••• BD affiliated currentsince Feb 16, 2021 · Frisco, Tx
- L•••••• I••••••••• independent RIA currentsince Feb 16, 2021 · Fort Washington, Pa
- H•••••• T••••••• • K•••• L•• independent RIASep 14, 2017 to Feb 17, 2021 · Addison, Tx
- V•••• F•••••••• A•••••••• I••• BD affiliatedAug 29, 2013 to Aug 10, 2017 · Addison, Tx
- N•• E•••••• S••••••••• C••••••••• formerMar 10, 2009 to Jul 18, 2013 · Dallas, Tx
- P•••• S••••••••• L•• no RAUMSep 16, 2008 to Mar 2, 2009 · Plano, Tx
- H•••••• T••••••• • K•••• L•• to L•••••• I•••••••••left Feb 17, 2021, registered Feb 16, 2021 (-1 days) · Affiliated broker-dealer or bank to another
- V•••• F•••••••• A•••••••• I••• to H•••••• T••••••• • K•••• L••left Aug 10, 2017, registered Sep 14, 2017 (35 days) · Other
- N•• E•••••• S••••••••• C••••••••• to V•••• F•••••••• A•••••••• I•••left Jul 18, 2013, registered Aug 29, 2013 (42 days) · Other
- P•••• S••••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Mar 2, 2009, registered Mar 10, 2009 (8 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