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.
M••• S••••• K•••••
- M•••••• A••••• S••••••••• L•• BD affiliated currentsince Sep 9, 2019 · San Diego, Ca
- B•••• W••••• M••••••••• state registered currentsince Sep 25, 2017 · Washington Crossing, Pa
- G••••••• W••••• M••••••••• BD affiliatedApr 6, 2015 to Aug 31, 2017 · Washington Crossing, Pa
- G••••••• A•••••••• L•• independent RIAJul 15, 2014 to Mar 23, 2015 · Washington Crossing, Pa
- M•• F•••••••• S•••••••• I••• formerJul 9, 2013 to Jul 25, 2013 · Sandy, Ut
- P•••• S••••••••• L•• no RAUMJun 21, 2002 to Jul 9, 2013 · Washington Crossing, Pa
- G••••••• W••••• M••••••••• to B•••• W••••• M•••••••••left Aug 31, 2017, registered Sep 25, 2017 (25 days) · Other
- G••••••• A•••••••• L•• to G••••••• W••••• M•••••••••left Mar 23, 2015, registered Apr 6, 2015 (14 days) · Other · moved with a team
- M•• F•••••••• S•••••••• I••• to G••••••• A•••••••• L••left Jul 25, 2013, registered Jul 15, 2014 (355 days) · Other
- P•••• S••••••••• L•• to M•• F•••••••• S•••••••• I•••left Jul 9, 2013, registered Jul 9, 2013 (0 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address