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•••• C•••••• C••••••••
- P•••••••• S••••••••• I••• BD affiliated currentsince Aug 6, 2015 · Windermere, Fl
- O•••• W•••••• I••• BD affiliatedMar 25, 2015 to Aug 4, 2015 · Astatula, Fl
- F••• A••••••• formerJan 4, 2007 to Jul 31, 2015 · Bloomington, Il
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedJun 22, 2005 to Nov 2, 2006 · Orlando, Fl
- O•••• W•••••• I••• to P•••••••• S••••••••• I•••left Aug 4, 2015, registered Aug 6, 2015 (2 days) · Other
- F••• A••••••• to O•••• W•••••• I•••left Jul 31, 2015, registered Mar 25, 2015 (-128 days) · Other
- A•••••• I••••••••• M••••••••• C•••••• L•• to F••• A•••••••left Nov 2, 2006, registered Jan 4, 2007 (63 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address