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.
B•••• W• K••••••
- A•••••• R••••••• C•••••• independent RIA currentsince Jul 26, 2018 · Southlake, Tx
- L•••• F••• A••••••• S••••••• BD affiliatedSep 2, 2016 to Sep 14, 2018 · Southlake, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Sep 15, 2016 · Southlake, Tx
- C•••• I••••••••• S••••••• C•••• formerAug 3, 2010 to Oct 1, 2012 · Watauga, Tx
- L•••• F••• A••••••• S••••••• to A•••••• R••••••• C••••••left Sep 14, 2018, registered Jul 26, 2018 (-50 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- J••• M••••• S••••••••• L•• to L•••• F••• A••••••• S•••••••left Sep 15, 2016, registered Sep 2, 2016 (-13 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address