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••••••••• A•••••••• K•••••••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Feb 17, 2021 · Fort Worth, Tx
- B••• S••••••••• L•• formerJan 2, 2018 to Feb 17, 2021 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerAug 25, 2015 to Jan 2, 2018 · Charlotte, Nc
- P•• M•••••• A•••••• S••••••••• I••• formerDec 23, 2013 to Jul 7, 2015 · Azle, Tx
- C•••• I••••••••• S••••••• C•••• formerDec 11, 2008 to May 20, 2011 · Arlington, Tx
- M•• F•••••••• S•••••••• I••• formerNov 30, 2006 to Dec 18, 2008 · Glendale, Ca
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- P•• M•••••• A•••••• S••••••••• I••• to B••• I••••••••• S•••••••• I•••left Jul 7, 2015, registered Aug 25, 2015 (49 days) · Other
- C•••• I••••••••• S••••••• C•••• to P•• M•••••• A•••••• S••••••••• I•••left May 20, 2011, registered Dec 23, 2013 (948 days) · Other
- M•• F•••••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••left Dec 18, 2008, registered Dec 11, 2008 (-7 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address