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•••••• P••••• S•••••
- G••••• W••••• M••••••••• I••• BD affiliated currentsince Apr 3, 2013 · Billings, Mt
- K••••• W••••• M••••••••• formerMay 27, 2009 to May 2, 2013 · Billings, Mt
- U•• F•••••••• S••••••• I••• wirehouseOct 14, 1994 to May 13, 2009 · Billings, Mt
- K••••• W••••• M••••••••• to G••••• W••••• M••••••••• I•••left May 2, 2013, registered Apr 3, 2013 (-29 days) · Other
- U•• F•••••••• S••••••• I••• to K••••• W••••• M•••••••••left May 13, 2009, registered May 27, 2009 (14 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