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.
R•••• K•••• B•••••
- I•••••••• A•••••••• L•• BD affiliated currentsince Feb 2, 2021 · Stanley, Nd
- W••••• P••• O• T•• D••••••• I••• state registeredJun 7, 2019 to Jan 29, 2021 · Stanley, Nd
- C•••••• F•••••••• S•••••••• I••• formerDec 7, 2015 to Jul 31, 2019 · Stanley, Nd
- I••••••••• C•••••• O• A••••••• I••• formerNov 29, 2012 to Dec 1, 2015 · Stanley, Nd
- W••••• P••• O• T•• D••••••• I••• to I•••••••• A•••••••• L••left Jan 29, 2021, registered Feb 2, 2021 (4 days) · Other
- C•••••• F•••••••• S•••••••• I••• to W••••• P••• O• T•• D••••••• I•••left Jul 31, 2019, registered Jun 7, 2019 (-54 days) · RIA to a state-registered adviser
- I••••••••• C•••••• O• A••••••• I••• to C•••••• F•••••••• S•••••••• I•••left Dec 1, 2015, registered Dec 7, 2015 (6 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