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.
R••••• K••••••• C•••
- M• H••••••• S••••••••• I••• BD affiliated currentsince Oct 16, 2015 · Portland, Or
- P•••••• P••••••• S••••••••• I••• unclassifiedFeb 3, 2009 to Nov 19, 2013 · Rancho Cordova, Ca
- C••••• A•••••• N••••••• L•• formerAug 13, 2008 to Oct 20, 2015 · San Jose, Ca
- P•••••• P••••••• S••••••••• I••• unclassifiedMar 14, 2003 to Aug 13, 2008 · Sacramento, Ca
- M•• F•••••••• S•••••••• I••• formerJun 21, 2001 to Mar 20, 2003 · Lafayette, Ca
- C••••• A•••••• N••••••• L•• to P•••••• P••••••• S••••••••• I•••left Oct 20, 2015, registered Feb 3, 2009 (-2450 days) · Other
- P•••••• P••••••• S••••••••• I••• to M• H••••••• S••••••••• I•••left Nov 19, 2013, registered Oct 16, 2015 (696 days) · Other
- P•••••• P••••••• S••••••••• I••• to C••••• A•••••• N••••••• L••left Aug 13, 2008, registered Aug 13, 2008 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to P•••••• P••••••• S••••••••• I•••left Mar 20, 2003, registered Mar 14, 2003 (-6 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address