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.
J••••• D••••• K•••
- G•• W••••• M••••••••• independent RIA currentsince Sep 27, 2021 · Flower Mound, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 27, 2021 to Oct 11, 2021 · Flower Mound, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDSep 24, 2019 to Oct 15, 2020 · Santa Clara, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to G•• W••••• M•••••••••left Oct 11, 2021, registered Sep 27, 2021 (-14 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 15, 2020, registered Jan 27, 2021 (104 days) · Affiliated broker-dealer or bank to another
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address