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••••• W••••• D••••••
- D••• D••••••• • C•• independent RIA currentsince Oct 25, 2021 · Austin, Tx
- H•••••• S••••••••• I••• BD affiliatedApr 19, 2013 to Nov 22, 2021 · Austin, Tx
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Apr 25, 2013 · Austin, Tx
- M••••• K••••• • C••••••• L•• formerJun 29, 2007 to Feb 13, 2013 · Austin, Tx
- R•••••• J•••• • A••••••••• I••• national BDMar 27, 1997 to Jul 6, 2007 · Austin, Tx
- H•••••• S••••••••• I••• to D••• D••••••• • C••left Nov 22, 2021, registered Oct 25, 2021 (-28 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- R•••••• J•••• • A••••••••• I••• to H•••••• S••••••••• I•••left Apr 25, 2013, registered Apr 19, 2013 (-6 days) · Other
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- R•••••• J•••• • A••••••••• I••• to M••••• K••••• • C••••••• L••left Jul 6, 2007, registered Jun 29, 2007 (-7 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
- Independent wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address