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.
S•••• A••• S••••••
- K••••• P•••••• W••••• S•••••••• L•• BD affiliated currentsince Feb 21, 2024 · Austin, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 19, 2019 to Feb 22, 2024 · Carlsbad, Ca
- K••••• P•••••• W••••• S•••••••• L•• BD affiliatedJun 16, 2016 to Mar 18, 2019 · Austin, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to K••••• P•••••• W••••• S•••••••• L••left Feb 22, 2024, registered Feb 21, 2024 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- K••••• P•••••• W••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 18, 2019, registered Mar 19, 2019 (1 days) · RIA to wirehouse
- S•••• A••• S•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for K••••• P•••••• W••••• S•••••••• L•• (registered 2024-02-21)Feb 22, 2024 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address