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.
R•••• K••••••• T•••
- C•••••• S••••• • C••• I••• national BD currentsince Nov 6, 2018 · Westlake, Tx
- F•••• C•••••• A••••••• S••••••• BD affiliatedDec 15, 2015 to Oct 5, 2018 · Fort Worth, Tx
- F•••• C•••••• F•••••••• P•••••••• I••• formerNov 11, 2015 to Dec 15, 2015 · Fort Worth, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 2, 2014 to Nov 9, 2015 · Fort Worth, Tx
- T• A••••••••• I••• formerSep 2, 2014 to Nov 9, 2015 · Fort Worth, Tx
- F•••• C•••••• A••••••• S••••••• to C•••••• S••••• • C••• I•••left Oct 5, 2018, registered Nov 6, 2018 (32 days) · Affiliated broker-dealer or bank to another
- F•••• C•••••• F•••••••• P•••••••• I••• to F•••• C•••••• A••••••• S•••••••left Dec 15, 2015, registered Dec 15, 2015 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Nov 9, 2015, registered Sep 2, 2014 (-433 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••• to F•••• C•••••• F•••••••• P•••••••• I•••left Nov 9, 2015, registered Nov 11, 2015 (2 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
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address