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.
B•••• A••• R•••
- L•• F•••••••• L•• BD affiliated currentsince Jan 4, 2021 · Lake Kiowa, Tx
- D••• I••••••••• L•• formerJan 3, 2017 to Jan 6, 2021 · Lake Kiowa, Tx
- R•••• A••••••• S•••••••• I••• independent RIAJan 2, 2009 to Dec 31, 2016 · Glenview, Il
- S•••••• I••••••••• G••••• L•• formerJul 14, 2004 to Dec 31, 2008 · Lake Kiowa, Tx
- D••• I••••••••• L•• to L•• F•••••••• L••left Jan 6, 2021, registered Jan 4, 2021 (-2 days) · Affiliated broker-dealer or bank to another
- R•••• A••••••• S•••••••• I••• to D••• I••••••••• L••left Dec 31, 2016, registered Jan 3, 2017 (3 days) · Other
- S•••••• I••••••••• G••••• L•• to R•••• A••••••• S•••••••• I•••left Dec 31, 2008, registered Jan 2, 2009 (2 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address