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•••••• W•••••• J••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Dubois, Pa
- K••••• A•••••••• I••• BD affiliatedJun 2, 2010 to Aug 6, 2021 · Ft. Lauderdale, Fl
- C••••• A•••••• N••••••• L•• formerOct 24, 2005 to Sep 6, 2007 · Irvine, Ca
- G••••••• P••••••• unclassifiedJan 10, 2003 to Jul 8, 2010 · Du Bois, Pa
- K••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Aug 6, 2021, registered Jun 29, 2023 (692 days) · Affiliated broker-dealer or bank to another
- G••••••• P••••••• to C••••• A•••••• N••••••• L••left Jul 8, 2010, registered Oct 24, 2005 (-1718 days) · Other
- C••••• A•••••• N••••••• L•• to K••••• A•••••••• I•••left Sep 6, 2007, registered Jun 2, 2010 (1000 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