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.
J•••• K•••• P•••••
- N•••••• A••••••• BD affiliated currentsince Nov 1, 2021 · Brenham, Tx
- M•• A••••••• F•••••••• M••••••••• I••• formerAug 1, 2017 to Nov 1, 2021 · Castle Rock, Co
- W•• A•••••••• L• formerJan 3, 2005 to Aug 2, 2017 · Castle Rock, Co
- P••••••••• S••••••••• I••• unclassifiedJun 28, 2002 to Dec 31, 2004 · Castle Rock, Co
- M•• A••••••• F•••••••• M••••••••• I••• to N•••••• A•••••••left Nov 1, 2021, registered Nov 1, 2021 (0 days) · corporate re-registration, not a move
- W•• A•••••••• L• to M•• A••••••• F•••••••• M••••••••• I•••left Aug 2, 2017, registered Aug 1, 2017 (-1 days) · Other
- P••••••••• S••••••••• I••• to W•• A•••••••• L•left Dec 31, 2004, registered Jan 3, 2005 (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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address