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•••• M•••••• G••••••••
- A••••••• A••••••• S•••••••• L•• BD affiliated currentsince Nov 1, 2021 · Mishawaka, In
- 2•••• C•••••• M••••••••• I•• formerDec 7, 2015 to Jan 2, 2019 · Mishawaka, In
- C••••••• I••••••••• I••• unclassifiedAug 9, 2001 to Jun 30, 2006 · Mishawaka, In
- 2•••• C•••••• M••••••••• I•• to A••••••• A••••••• S•••••••• L••left Jan 2, 2019, registered Nov 1, 2021 (1034 days) · RIA to affiliated broker-dealer or bank · moved with a team
- C••••••• I••••••••• I••• to 2•••• C•••••• M••••••••• I••left Jun 30, 2006, registered Dec 7, 2015 (3447 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address