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•••••• W••••• K•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jan 7, 2016 · Austin, Tx
- U••••• C•••••• F•••••••• A••••••• independent RIAApr 10, 2015 to Dec 21, 2015 · Austin, Tx
- V•• A••••••• S••••••• formerFeb 3, 2014 to Apr 13, 2015 · Austin, Tx
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAMar 25, 2013 to Feb 26, 2014 · Atlanta, Ga
- U••••• C•••••• F•••••••• A••••••• to R•••••• J•••• • A••••••••• I•••left Dec 21, 2015, registered Jan 7, 2016 (17 days) · Other
- V•• A••••••• S••••••• to U••••• C•••••• F•••••••• A•••••••left Apr 13, 2015, registered Apr 10, 2015 (-3 days) · Other
- M••••• O• O•••• I••••••• S•••••••• I••• to V•• A••••••• S•••••••left Feb 26, 2014, registered Feb 3, 2014 (-23 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address