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.
C•••• J•••• J••• A•••••••
- B••••••• E•••••••• L•• state registered currentsince Jun 8, 2021 · Oceanside, Ca
- K••• C•••••• P••••••• independent RIAJun 12, 2018 to Jul 6, 2021 · Oceanside, Ca
- C••••• • A••••••••• I••• independent RIAMay 27, 2015 to Jul 18, 2017 · Lisle, Il
- C••••••••• S••••••••• L•• BD affiliatedNov 25, 2014 to Dec 31, 2014 · Overland Park, Ks
- K••• C•••••• P••••••• to B••••••• E•••••••• L••left Jul 6, 2021, registered Jun 8, 2021 (-28 days) · RIA to a state-registered adviser
- C••••• • A••••••••• I••• to K••• C•••••• P•••••••left Jul 18, 2017, registered Jun 12, 2018 (329 days) · Other
- C••••••••• S••••••••• L•• to C••••• • A••••••••• I•••left Dec 31, 2014, registered May 27, 2015 (147 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
- STATE REGISTEREDderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address