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•••• K••••
- B••••• W•••••• L•• independent RIA currentsince Jun 20, 2016 · Houston, Tx
- M••••• S•••••• wirehouseNov 13, 2014 to Jul 15, 2016 · Houston, Tx
- R•• C•••••• M••••••• L•• national BDMay 7, 2013 to Nov 21, 2014 · Houston, Tx
- M••••• S•••••• to B••••• W•••••• L••left Jul 15, 2016, registered Jun 20, 2016 (-25 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- R•• C•••••• M••••••• L•• to M••••• S••••••left Nov 21, 2014, registered Nov 13, 2014 (-8 days) · Affiliated broker-dealer or bank to wirehouse
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