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.
A••••• K••• M•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jul 10, 2019 · St. Petersburg, Fl
- H•••••• S••••••••• I••• BD affiliatedApr 15, 2016 to Dec 26, 2017 · Dallas, Tx
- M••••••• I••••••••• N•••••• I••• BD affiliatedJun 16, 2005 to Jan 5, 2015 · Dallas, Tx
- B••• O•• S••••••••• C••••••••• unclassifiedNov 18, 2003 to Jun 1, 2005 · Mckinney, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDAug 6, 2003 to Sep 19, 2003 · Dallas, Tx
- H•••••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Dec 26, 2017, registered Jul 10, 2019 (561 days) · Other
- M••••••• I••••••••• N•••••• I••• to H•••••• S••••••••• I•••left Jan 5, 2015, registered Apr 15, 2016 (466 days) · Other
- B••• O•• S••••••••• C••••••••• to M••••••• I••••••••• N•••••• I•••left Jun 1, 2005, registered Jun 16, 2005 (15 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to B••• O•• S••••••••• C•••••••••left Sep 19, 2003, registered Nov 18, 2003 (60 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address