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.
A••••• N• K•••••••
- M••••• I••••••••• L•• independent RIA currentsince May 25, 2022 · Port St Lucie, Fl
- P•• M•••••• A•••••• S••••••••• I••• formerDec 12, 2017 to Oct 8, 2021 · Houston, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 5, 2016 to Nov 15, 2017 · Houston, Tx
- E••••• J•••• national BDMar 4, 2016 to Jul 13, 2016 · Houston, Tx
- P•• M•••••• A•••••• S••••••••• I••• to M••••• I••••••••• L••left Oct 8, 2021, registered May 25, 2022 (229 days) · Affiliated broker-dealer or bank to independent RIA
- J••• M••••• S••••••••• L•• to P•• M•••••• A•••••• S••••••••• I•••left Nov 15, 2017, registered Dec 12, 2017 (27 days) · Other
- E••••• J•••• to J••• M••••• S••••••••• L••left Jul 13, 2016, registered Oct 5, 2016 (84 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address