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.
A•••••• P•••••• O•••••
- D••••••••• F••• A••••••• L• asset manager currentsince Sep 28, 2022 · Austin, Tx
- L•• F•••••••• L•• BD affiliatedMar 11, 2022 to Sep 22, 2022 · Austin, Tx
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 28, 2016 to Feb 16, 2022 · Austin, Tx
- N•• A•••••• S•••••••• L•• formerAug 6, 2015 to Sep 22, 2016 · Austin, Tx
- J• W• C••• A•••••••• I••• BD affiliatedJan 2, 2014 to Jul 27, 2015 · Carlsbad, Ca
- L•• F•••••••• L•• to D••••••••• F••• A••••••• L•left Sep 22, 2022, registered Sep 28, 2022 (6 days) · Other
- K••••• A••••••• S•••••••• L•• to L•• F•••••••• L••left Feb 16, 2022, registered Mar 11, 2022 (23 days) · Affiliated broker-dealer or bank to independent RIA
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 28, 2016 (-147 days) · corporate re-registration, not a move
- J• W• C••• A•••••••• I••• to N•• A•••••• S•••••••• L••left Jul 27, 2015, registered Aug 6, 2015 (10 days) · Other
- A•••••• P•••••• O••••• left L•• F•••••••• L•• for D••••••••• F••• A••••••• L• (registered 2022-09-28)Sep 22, 2022 · a•••••• firm change · fact
- A•••••• P•••••• O••••• left K••••• A••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2022-03-11)Feb 16, 2022 · a•••••• firm change · 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address