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.
D••••• L•• G•••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Apr 20, 2016 · Kalamazoo, Mi
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJul 11, 2007 to May 7, 2016 · Kalamazoo, Mi
- C••••• I••••••••• S••••••• L•• formerSep 1, 2006 to Jun 6, 2007 · Portage, Mi
- O•••• F•• I••• formerSep 7, 2005 to Sep 5, 2006 · San Diego, Ca
- M••••• S•••••• D• I••• unclassifiedFeb 1, 2001 to Aug 23, 2005 · San Diego, Ca
- T••••••••• F•••••••• A•••••••• L•• to K••••• A••••••• S•••••••• L••left May 7, 2016, registered Apr 20, 2016 (-17 days) · Other · moved with a team
- C••••• I••••••••• S••••••• L•• to T••••••••• F•••••••• A•••••••• L••left Jun 6, 2007, registered Jul 11, 2007 (35 days) · Other
- O•••• F•• I••• to C••••• I••••••••• S••••••• L••left Sep 5, 2006, registered Sep 1, 2006 (-4 days) · Other
- M••••• S•••••• D• I••• to O•••• F•• I•••left Aug 23, 2005, registered Sep 7, 2005 (15 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address