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.
A•••• K••• R••••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 7, 2018 · Irving, Tx
- W•••• F•••• A••••••• wirehouseJun 20, 2014 to Dec 11, 2018 · Dallas, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerNov 23, 2011 to Jun 23, 2014 · Dallas, Tx
- B••• I••••••••• S•••••••• I••• formerMar 8, 2011 to Nov 8, 2011 · Dallas, Tx
- C•••• I••••••••• S••••••• C•••• formerSep 16, 2009 to Feb 28, 2011 · Dallas, Tx
- W•••• F•••• A••••••• to L•• F•••••••• L••left Dec 11, 2018, registered Dec 7, 2018 (-4 days) · Wirehouse to independent RIA
- P•• M•••••• A•••••• S••••••••• I••• to W•••• F•••• A•••••••left Jun 23, 2014, registered Jun 20, 2014 (-3 days) · Other
- B••• I••••••••• S•••••••• I••• to P•• M•••••• A•••••• S••••••••• I•••left Nov 8, 2011, registered Nov 23, 2011 (15 days) · Other
- C•••• I••••••••• S••••••• C•••• to B••• I••••••••• S•••••••• I•••left Feb 28, 2011, registered Mar 8, 2011 (8 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