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••• P•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Aug 1, 2022 · Haslet, Tx
- W••••••••• R••••••••• A••••••• institutionalJul 23, 2015 to Jul 29, 2022 · Aliso Viejo, Ca
- N•• A•••••• S•••••••• L•• formerJun 27, 2014 to Sep 1, 2015 · Fort Worth, Tx
- F•••••••• T••••••• I••• formerJul 20, 2011 to Jun 24, 2014 · San Rafael, Ca
- W••••••••• R••••••••• A••••••• to R•••••• J•••• • A••••••••• I•••left Jul 29, 2022, registered Aug 1, 2022 (3 days) · Other
- N•• A•••••• S•••••••• L•• to W••••••••• R••••••••• A•••••••left Sep 1, 2015, registered Jul 23, 2015 (-40 days) · Other
- F•••••••• T••••••• I••• to N•• A•••••• S•••••••• L••left Jun 24, 2014, registered Jun 27, 2014 (3 days) · Other
- K••••••• D••• P••••• left W••••••••• R••••••••• A••••••• for R•••••• J•••• • A••••••••• I••• (registered 2022-08-01)Jul 29, 2022 · a•••••• firm change · 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
- National broker-dealer RIAderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address