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.
B•••••• K•••• C••••
- S••••• W••••• A•••••••• L•• independent RIA currentsince Apr 21, 2017 · Kaufman, Tx
- O•••• F•• I••• formerSep 17, 2014 to May 2, 2017 · Dallas, Tx
- T•••• C•••••• M••••••••• I••• formerDec 17, 2012 to May 21, 2014 · Little Rock, Ar
- O•••• F•• I••• to S••••• W••••• A•••••••• L••left May 2, 2017, registered Apr 21, 2017 (-11 days) · Other · moved with a team
- T•••• C•••••• M••••••••• I••• to O•••• F•• I•••left May 21, 2014, registered Sep 17, 2014 (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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address