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.
P•••••• R••• J••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 20, 2023 · San Diego, Ca
- K••••• A••••••• S•••••••• L•• BD affiliatedAug 5, 2016 to Jun 21, 2023 · Austin, Tx
- S•••••••• A••••••• L•• national BDJun 19, 2013 to Dec 2, 2015 · Westlake, Tx
- K••••• A••••••• S•••••••• L•• to L•• F•••••••• L••left Jun 21, 2023, registered Jul 20, 2023 (29 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••••• A••••••• L•• to K••••• A••••••• S•••••••• L••left Dec 2, 2015, registered Aug 5, 2016 (247 days) · Other
- P•••••• R••• J•••••• left K••••• A••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2023-07-20)Jun 21, 2023 · 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
- 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