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.
K•••••• E••••• J•••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Vacaville, Ca
- S••••••••• A•••••• A•••••••• I••• formerJan 26, 2007 to Jun 14, 2024 · Vacaville, Ca
- 1•• G••••• A••••••• I•• formerJul 28, 2003 to Aug 24, 2006 · Vacaville, Ca
- F•••••••• W••• G•••• formerJul 8, 1997 to Jul 25, 2003 · Vacaville, Ca
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- 1•• G••••• A••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Aug 24, 2006, registered Jan 26, 2007 (155 days) · Other
- F•••••••• W••• G•••• to 1•• G••••• A••••••• I••left Jul 25, 2003, registered Jul 28, 2003 (3 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address