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.
E•••••••• L••••• K••••••
- F•••• A••••••• independent RIA currentsince Aug 29, 2013 · Plymouth, Mn
- U•• F•••••••• S••••••• I••• wirehouseOct 18, 2002 to Mar 25, 2009 · Los Angeles, Ca
- P••••••••• E••••• G••••• L•• unclassifiedJul 8, 1997 to Oct 22, 2002 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• to F•••• A•••••••left Mar 25, 2009, registered Aug 29, 2013 (1618 days) · Other
- P••••••••• E••••• G••••• L•• to U•• F•••••••• S••••••• I•••left Oct 22, 2002, registered Oct 18, 2002 (-4 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
- Independent wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address