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.
N••••• J• D•••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Feb 19, 2025 · Austin, Tx
- H••••• B••••• S••••••••• L•• independent RIAMar 30, 2016 to Aug 11, 2016 · Fort Wayne, In
- G••••• F•••••••• P•••••• C••••••• I••• formerSep 1, 2015 to Jul 27, 2016 · Fort Wayne, In
- H••••• B••••• S••••••••• L•• to K••••• A••••••• S•••••••• L••left Aug 11, 2016, registered Feb 19, 2025 (3114 days) · RIA to affiliated broker-dealer or bank
- G••••• F•••••••• P•••••• C••••••• I••• to H••••• B••••• S••••••••• L••left Jul 27, 2016, registered Mar 30, 2016 (-119 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address