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.
J••• K•••••••• A••••••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Oct 29, 2020 · Austin, Tx
- A•••••• A••••••• S••••••• formerOct 25, 2019 to Jan 2, 2020 · Irving, Tx
- 1•• G••••• A••••••• I•• formerSep 27, 2017 to Oct 25, 2019 · Dallas, Tx
- U•• F•••••••• S••••••• I••• wirehouseApr 25, 2008 to Jan 22, 2013 · Ft. Worth, Tx
- A•••••• A••••••• S••••••• to K••••• A••••••• S•••••••• L••left Jan 2, 2020, registered Oct 29, 2020 (301 days) · Affiliated broker-dealer or bank to another · moved with a team
- 1•• G••••• A••••••• I•• to A•••••• A••••••• S•••••••left Oct 25, 2019, registered Oct 25, 2019 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to 1•• G••••• A••••••• I••left Jan 22, 2013, registered Sep 27, 2017 (1709 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address