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.
T•••• J• B•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 19, 2021 · Houston, Tx
- H•••••• T••••••• • K•••• L•• independent RIAJun 20, 2019 to Jan 17, 2020 · Houston, Tx
- W••••• D••••••••• S••••••••• I••••••••• A•••••••• I••• state registeredAug 10, 2017 to Oct 29, 2021 · Houston, Tx
- H•••••• T••••••• • K•••• L•• independent RIAJul 21, 2017 to Mar 22, 2018 · Houston, Tx
- W••••• D••••••••• S••••••••• I••••••••• A•••••••• I••• to H•••••• T••••••• • K•••• L••left Oct 29, 2021, registered Jun 20, 2019 (-862 days) · Other
- H•••••• T••••••• • K•••• L•• to A••••••••• F•••••••• S•••••••• L••left Jan 17, 2020, registered Jul 19, 2021 (549 days) · Affiliated broker-dealer or bank to another
- H•••••• T••••••• • K•••• L•• to W••••• D••••••••• S••••••••• I••••••••• A•••••••• I•••left Mar 22, 2018, registered Aug 10, 2017 (-224 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address