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•••• H••••• D••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Apr 5, 2022 · Austin, Tx
- L••••• F••••••••• I••• BD affiliatedApr 16, 2012 to Apr 1, 2022 · Brentwood, Tn
- D•••• R•••••••• L•• unclassifiedJan 25, 2007 to Mar 30, 2012 · Brentwood, Tn
- P•••••• D•••• L•• unclassifiedMar 9, 1993 to Aug 9, 2007 · Nashville, Tn
- L••••• F••••••••• I••• to K••••• A••••••• S•••••••• L••left Apr 1, 2022, registered Apr 5, 2022 (4 days) · Affiliated broker-dealer or bank to another
- D•••• R•••••••• L•• to L••••• F••••••••• I•••left Mar 30, 2012, registered Apr 16, 2012 (17 days) · Other
- P•••••• D•••• L•• to D•••• R•••••••• L••left Aug 9, 2007, registered Jan 25, 2007 (-196 days) · Other
- J•••• H••••• D•••• left L••••• F••••••••• I••• for K••••• A••••••• S•••••••• L•• (registered 2022-04-05)Apr 1, 2022 · 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
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address