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.
T••••• P•••••••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Aug 24, 2023 · Frisco, Tx
- F••••• I••••••••• independent RIAFeb 13, 2018 to Aug 9, 2023 · Plano, Tx
- C••••• A•••••• N••••••• L•• formerFeb 4, 2016 to Nov 16, 2016 · El Segundo, Ca
- K••••• A•••• M••••••••• C••• formerFeb 15, 2013 to Nov 20, 2015 · Chicago, Il
- C••••• I••••••••• A••••••• L•• BD affiliatedDec 4, 2008 to Feb 21, 2013 · Schaumburg, Il
- F••••• I••••••••• to A••••• A•• P••••••• S•••••••left Aug 9, 2023, registered Aug 24, 2023 (15 days) · RIA to affiliated broker-dealer or bank
- C••••• A•••••• N••••••• L•• to F••••• I•••••••••left Nov 16, 2016, registered Feb 13, 2018 (454 days) · Other
- K••••• A•••• M••••••••• C••• to C••••• A•••••• N••••••• L••left Nov 20, 2015, registered Feb 4, 2016 (76 days) · Other
- C••••• I••••••••• A••••••• L•• to K••••• A•••• M••••••••• C•••left Feb 21, 2013, registered Feb 15, 2013 (-6 days) · Other
- T••••• P••••••••• left F••••• I••••••••• for A••••• A•• P••••••• S••••••• (registered 2023-08-24)Aug 9, 2023 · a•••••• firm change · fact
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address