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.
K•••••• N••••• C•••••••
- W•••• F•••• A••••••• wirehouse currentsince May 20, 2013 · Fort Worth, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerOct 15, 2010 to May 20, 2013 · Houston, Tx
- S• J•••• W••••• M••••••••• unclassifiedApr 1, 2010 to Oct 15, 2010 · Azle, Tx
- B••• C•••••• I••••••••• S••••••••• I•• unclassifiedMay 14, 2008 to Mar 10, 2010 · Fort Worth, Tx
- C••••• I••••••••• S••••••• L•• formerMay 21, 2007 to May 14, 2008 · Fort Worth, Tx
- W•••• F•••• I••••••••• L•• unclassifiedDec 2, 2005 to May 14, 2007 · Fort Worth, Tx
- F•••• C•••••• F•••••••• P•••••••• I••• formerSep 2, 2005 to Nov 14, 2005 · Fort Worth, Tx
- F•••• C•••••• B••• unclassifiedJan 4, 2005 to Sep 2, 2005 · Fort Worth, Tx
- P•• M•••••• A•••••• S••••••••• I••• to W•••• F•••• A•••••••left May 20, 2013, registered May 20, 2013 (0 days) · Other
- S• J•••• W••••• M••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Oct 15, 2010, registered Oct 15, 2010 (0 days) · corporate re-registration, not a move
- B••• C•••••• I••••••••• S••••••••• I•• to S• J•••• W••••• M•••••••••left Mar 10, 2010, registered Apr 1, 2010 (22 days) · corporate re-registration, not a move
- C••••• I••••••••• S••••••• L•• to B••• C•••••• I••••••••• S••••••••• I••left May 14, 2008, registered May 14, 2008 (0 days) · Other
- W•••• F•••• I••••••••• L•• to C••••• I••••••••• S••••••• L••left May 14, 2007, registered May 21, 2007 (7 days) · Other
- F•••• C•••••• F•••••••• P•••••••• I••• to W•••• F•••• I••••••••• L••left Nov 14, 2005, registered Dec 2, 2005 (18 days) · Other
- F•••• C•••••• B••• to F•••• C•••••• F•••••••• P•••••••• I•••left Sep 2, 2005, registered Sep 2, 2005 (0 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address