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.
C•••••• B••• K••••••
- K•••••• I••••••••• M••••••••• state registered currentsince May 1, 2017 · Amarillo, Tx
- F•••••••• A••••••• G•••• L••••• independent RIAOct 1, 2010 to Apr 4, 2018 · Gig Harbor, Wa
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Oct 4, 2010 · Amarillo, Tx
- A• G• E•••••• • S•••• I••• unclassifiedOct 9, 2002 to Jan 1, 2008 · Amarillo, Tx
- F•••••••• A••••••• G•••• L••••• to K•••••• I••••••••• M•••••••••left Apr 4, 2018, registered May 1, 2017 (-338 days) · RIA to a state-registered adviser
- W•••• F•••• A••••••• to F•••••••• A••••••• G•••• L•••••left Oct 4, 2010, registered Oct 1, 2010 (-3 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
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
- STATE REGISTEREDderived
- Years in industry
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address