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•••• W•••••• M••••
- I••••••••• A•••••• A•••••••• L•• i••••••••• wealth currentsince Oct 3, 2018 · Temple, Tx
- I••••••••• F•••••••• P••••••• BD affiliatedJan 3, 2018 to Oct 10, 2018 · Temple, Tx
- W•••••• • R••• formerMar 20, 2012 to Jan 11, 2018 · Austin, Tx
- E••••• J•••• national BDFeb 8, 2010 to Jan 26, 2012 · Killeen, Tx
- I••••••••• F•••••••• P••••••• to I••••••••• A•••••• A•••••••• L••left Oct 10, 2018, registered Oct 3, 2018 (-7 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- W•••••• • R••• to I••••••••• F•••••••• P•••••••left Jan 11, 2018, registered Jan 3, 2018 (-8 days) · Other
- E••••• J•••• to W•••••• • R•••left Jan 26, 2012, registered Mar 20, 2012 (54 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
- I••••••••• WEALTHderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address