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.
N•••••• K• F• D••••
- W•••• F•••• A••••••• wirehouse currentsince May 3, 2019 · Mclean, Va
- M••••• S•••••• wirehouseFeb 16, 2010 to May 6, 2019 · Mclean, Va
- J•••••••• L•••• • C•• I••••••••• unclassifiedSep 26, 2007 to Feb 12, 2010 · Washington, Dc
- J••••••• L•••• A•••• M••••••••• I•• formerJul 7, 2006 to Apr 14, 2010 · Washington, Dc
- M••••• S•••••• to W•••• F•••• A•••••••left May 6, 2019, registered May 3, 2019 (-3 days) · Wirehouse to wirehouse · moved with a team
- J••••••• L•••• A•••• M••••••••• I•• to J•••••••• L•••• • C•• I•••••••••left Apr 14, 2010, registered Sep 26, 2007 (-931 days) · Other
- J•••••••• L•••• • C•• I••••••••• to M••••• S••••••left Feb 12, 2010, registered Feb 16, 2010 (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
- Wirehousederived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address