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••••• W••••• K•••••••••
- C•••••••• F••••••••• I••• BD affiliated currentsince Apr 12, 2012 · Anaheim, Ca
- F•••• W•••••• A••••••• formerMar 29, 2012 to Apr 4, 2012 · Holladay, Ut
- P•••••• I••••••••• C••••••• L•• formerNov 1, 2007 to Apr 2, 2012 · Portland, Or
- I••••••••• M••••••••• C••••••••• unclassifiedApr 15, 1996 to Nov 23, 2007 · Sandy, Ut
- F•••• W•••••• A••••••• to C•••••••• F••••••••• I•••left Apr 4, 2012, registered Apr 12, 2012 (8 days) · Other
- P•••••• I••••••••• C••••••• L•• to F•••• W•••••• A•••••••left Apr 2, 2012, registered Mar 29, 2012 (-4 days) · Other
- I••••••••• M••••••••• C••••••••• to P•••••• I••••••••• C••••••• L••left Nov 23, 2007, registered Nov 1, 2007 (-22 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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address