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••• C••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Feb 8, 2024 · Dallas, Tx
- J••• M••••• S••••••••• L•• wirehouseJan 26, 2021 to Oct 4, 2021 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 27, 2015 to Feb 1, 2019 · Dallas, Tx
- T••• N•••• A•••••••• L•• independent RIAJun 25, 2015 to Aug 20, 2015 · Dallas, Tx
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 4, 2021, registered Feb 8, 2024 (857 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Feb 1, 2019, registered Jan 26, 2021 (725 days) · Wirehouse to wirehouse · moved with a team
- T••• N•••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 20, 2015, registered Oct 27, 2015 (68 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address