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.
J••••••• L••••••• K•••••••
- W••••• I••••••••• state registered currentsince Jun 7, 2022 · La Selva, Ca
- O••••••••• institutionalJun 3, 2019 to Aug 15, 2022 · Overland Park, Ks
- P••••••••• A••••••• S••••••• L•• formerJun 8, 2017 to Jul 10, 2019 · Santa Barbara, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jun 7, 2017 · Montecito, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMay 22, 2003 to Jan 3, 2011 · Montecito, Ca
- O••••••••• to W••••• I•••••••••left Aug 15, 2022, registered Jun 7, 2022 (-69 days) · Other
- P••••••••• A••••••• S••••••• L•• to O•••••••••left Jul 10, 2019, registered Jun 3, 2019 (-37 days) · Other
- W•••• F•••• A••••••• to P••••••••• A••••••• S••••••• L••left Jun 7, 2017, registered Jun 8, 2017 (1 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- J••••••• L••••••• K••••••• left O••••••••• for W••••• I••••••••• (registered 2022-06-07)Aug 15, 2022 · Advisor changed firm · fact
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
- STATE REGISTEREDderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address