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.
K••• T•••••• J•••••••
- S•• BD affiliated currentsince Nov 18, 2019 · Mesa, Az
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedMar 1, 2010 to Nov 20, 2019 · Decorah, Ia
- S••••••••• A•••••• A•••••••• I••• formerNov 1, 2007 to Mar 1, 2010 · Decorah, Ia
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to S••left Nov 20, 2019, registered Nov 18, 2019 (-2 days) · Affiliated broker-dealer or bank to another
- S••••••••• A•••••• A•••••••• I••• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Mar 1, 2010, registered Mar 1, 2010 (0 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address