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•• D••••• C•••••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 18, 2021 · Arlington, Tx
- W•••••• W••••• M••••••••• L•• independent RIASep 14, 2016 to Nov 19, 2021 · Fort Worth, Tx
- W•••• F•••• A••••••• wirehouseSep 17, 2012 to Sep 16, 2016 · Fort Worth, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerDec 14, 2010 to Sep 6, 2012 · Fort Worth, Tx
- E••••• J•••• national BDMar 11, 2008 to Dec 9, 2010 · Ft Worth, Tx
- W•••••• W••••• M••••••••• L•• to L•• F•••••••• L••left Nov 19, 2021, registered Nov 18, 2021 (-1 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to W•••••• W••••• M••••••••• L••left Sep 16, 2016, registered Sep 14, 2016 (-2 days) · Other · moved with a team
- P•• M•••••• A•••••• S••••••••• I••• to W•••• F•••• A•••••••left Sep 6, 2012, registered Sep 17, 2012 (11 days) · Other
- E••••• J•••• to P•• M•••••• A•••••• S••••••••• I•••left Dec 9, 2010, registered Dec 14, 2010 (5 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address