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•••• R• T•••••
- D••• D••••••• • C•• independent RIA currentsince Feb 23, 2022 · Oklahoma City, Ok
- L•• F•••••••• L•• BD affiliatedFeb 14, 2018 to Mar 23, 2022 · Richardson, Tx
- I••••• F•••••••• C••••••••• formerFeb 1, 2013 to Feb 14, 2018 · Richardson, Tx
- R•• C•••••• M••••••• L•• national BDApr 1, 2011 to Sep 1, 2011 · Leawood, Ks
- L•• F•••••••• L•• to D••• D••••••• • C••left Mar 23, 2022, registered Feb 23, 2022 (-28 days) · RIA to RIA
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 14, 2018, registered Feb 14, 2018 (0 days) · corporate re-registration, not a move
- R•• C•••••• M••••••• L•• to I••••• F•••••••• C•••••••••left Sep 1, 2011, registered Feb 1, 2013 (519 days) · Other
- K•••• R• T••••• left L•• F•••••••• L•• for D••• D••••••• • C•• (registered 2022-02-23)Mar 23, 2022 · Advisor changed firm · 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
- Independent wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address