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••••• K• L•••••
- A•••••• R••••••• C•••••• independent RIA currentsince Sep 19, 2012 · Fort Worth, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Sep 10, 2012 · Fort Worth, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 18, 2008 to Oct 23, 2009 · Ft. Worth, Tx
- E••••• J•••• national BDSep 8, 2005 to Jan 24, 2008 · Fort Worth, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 16, 2003 to Sep 10, 2005 · Waco, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A•••••• R••••••• C••••••left Sep 10, 2012, registered Sep 19, 2012 (9 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- E••••• J•••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jan 24, 2008, registered Jan 18, 2008 (-6 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Sep 10, 2005, registered Sep 8, 2005 (-2 days) · Wirehouse to affiliated broker-dealer or bank
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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address