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•••••••
- P•••• C•••••• F•••••••• mixed wealth currentsince Mar 3, 2025 · Austin, Tx
- S••••••• C••••••• L•• formerJun 28, 2019 to Mar 27, 2025 · Austin, Tx
- N••••••• T•••• S••••••••• I•• BD affiliatedFeb 9, 2015 to Jun 4, 2019 · Austin, Tx
- M••••• W••••• A••••••• independent RIASep 12, 2011 to Sep 9, 2014 · Austin, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 11, 2008 to Aug 22, 2011 · Austin, Tx
- E•••••••• A•••••••• L•• national BDJul 11, 2006 to Aug 13, 2008 · Austin, Tx
- S••••••• C••••••• L•• to P•••• C•••••• F••••••••left Mar 27, 2025, registered Mar 3, 2025 (-24 days) · RIA to RIA · moved with a team
- N••••••• T•••• S••••••••• I•• to S••••••• C••••••• L••left Jun 4, 2019, registered Jun 28, 2019 (24 days) · Affiliated broker-dealer or bank to a newly registered adviser
- M••••• W••••• A••••••• to N••••••• T•••• S••••••••• I••left Sep 9, 2014, registered Feb 9, 2015 (153 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• W••••• A•••••••left Aug 22, 2011, registered Sep 12, 2011 (21 days) · Other
- E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 13, 2008, registered Aug 11, 2008 (-2 days) · Affiliated broker-dealer or bank to wirehouse
- K•••• A••••• K••••••• left S••••••• C••••••• L•• for P•••• C•••••• F•••••••• (registered 2025-03-03)Mar 27, 2025 · Advisor changed firm · 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address