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••• D••••• S•••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 24, 2021 · Big Piney, Wy
- B•• H••••• F•••••••• A•••••••• I•• formerMar 11, 2015 to Mar 24, 2021 · Phoenix, Az
- P•• M•••••• A•••••• S••••••••• I••• formerAug 24, 2011 to Dec 1, 2014 · Lone Tree, Co
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Feb 26, 2010 · Gilbert, Az
- B••• O•• S••••••••• C••••••••• unclassifiedOct 30, 2002 to Jul 6, 2005 · Phoenix, Az
- B•• H••••• F•••••••• A•••••••• I•• to L•• F•••••••• L••left Mar 24, 2021, registered Mar 24, 2021 (0 days) · corporate re-registration, not a move
- P•• M•••••• A•••••• S••••••••• I••• to B•• H••••• F•••••••• A•••••••• I••left Dec 1, 2014, registered Mar 11, 2015 (100 days) · Other
- C•••• I••••••••• S••••••• C•••• to P•• M•••••• A•••••• S••••••••• I•••left Feb 26, 2010, registered Aug 24, 2011 (544 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address