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.
F•••••• K••••
- M•••• • C••••• I•• BD affiliated currentsince Aug 1, 2023 · Phoenix, Az
- F•• W••••• M••••••••• L•• BD affiliatedOct 1, 2020 to Aug 7, 2023 · West Des Moines, Ia
- B••••••• I••••••••• S•••••••• I••• ••••• formerFeb 7, 2017 to Sep 4, 2020 · Ramsey, Mn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jun 13, 2013 · Boston, Ma
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 5, 2007 to Oct 23, 2009 · Boston, Ma
- F•• W••••• M••••••••• L•• to M•••• • C••••• I••left Aug 7, 2023, registered Aug 1, 2023 (-6 days) · Affiliated broker-dealer or bank to another
- B••••••• I••••••••• S•••••••• I••• ••••• to F•• W••••• M••••••••• L••left Sep 4, 2020, registered Oct 1, 2020 (27 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Jun 13, 2013, registered Feb 7, 2017 (1335 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- F•••••• K•••• left F•• W••••• M••••••••• L•• for M•••• • C••••• I•• (registered 2023-08-01)Aug 7, 2023 · Advisor changed firm · fact
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address