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.
P•••••• A• K••••••••
- M•••••• BD affiliated currentsince Sep 30, 2016 · Plano, Tx
- M•••••• W••••• A••••••• formerSep 30, 2016 to Mar 31, 2018 · Plano, Tx
- A•••••• A••••••• S••••••• formerApr 25, 2014 to Sep 12, 2016 · Irving, Tx
- L•• F•••••••• L•• BD affiliatedFeb 21, 2014 to May 1, 2014 · Allen, Tx
- E••••• J•••• national BDSep 24, 2008 to Sep 16, 2009 · Austin, Tx
- M•••••• W••••• A••••••• to M••••••left Mar 31, 2018, registered Sep 30, 2016 (-547 days) · Other
- A•••••• A••••••• S••••••• to M•••••• W••••• A•••••••left Sep 12, 2016, registered Sep 30, 2016 (18 days) · Other
- L•• F•••••••• L•• to A•••••• A••••••• S•••••••left May 1, 2014, registered Apr 25, 2014 (-6 days) · Other
- E••••• J•••• to L•• F•••••••• L••left Sep 16, 2009, registered Feb 21, 2014 (1619 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