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•••••• B•••• K•••
- B••••• P••••• A•••••••• L•• independent RIA currentsince Feb 27, 2017 · Scottsdale, Az
- B••••• P••••• W••••• A•••••••• L•• formerFeb 27, 2017 to Apr 27, 2020 · Scottsdale, Az
- W•••••• C•••••• M••••••••• L•• independent RIAAug 19, 2010 to Jan 27, 2017 · Phoenix, Az
- E•••••• C•••••• M••••••••• L•• formerMay 4, 2010 to Aug 12, 2010 · Arlington, Va
- C•••• I••••••••• S••••••• C•••• formerJul 2, 2009 to Mar 10, 2010 · Scottsdale, Az
- B••• C•••••• I••••••••• S••••••••• I•• unclassifiedNov 30, 2006 to Jul 17, 2008 · Scottsdale, Az
- E•••••• F•••••••• E•••••• independent RIAJan 3, 2005 to Nov 2, 2006 · Phoenix, Az
- B••••• P••••• W••••• A•••••••• L•• to B••••• P••••• A•••••••• L••left Apr 27, 2020, registered Feb 27, 2017 (-1155 days) · corporate re-registration, not a move
- W•••••• C•••••• M••••••••• L•• to B••••• P••••• W••••• A•••••••• L••left Jan 27, 2017, registered Feb 27, 2017 (31 days) · Other
- E•••••• C•••••• M••••••••• L•• to W•••••• C•••••• M••••••••• L••left Aug 12, 2010, registered Aug 19, 2010 (7 days) · Other
- C•••• I••••••••• S••••••• C•••• to E•••••• C•••••• M••••••••• L••left Mar 10, 2010, registered May 4, 2010 (55 days) · Other
- B••• C•••••• I••••••••• S••••••••• I•• to C•••• I••••••••• S••••••• C••••left Jul 17, 2008, registered Jul 2, 2009 (350 days) · Other
- E•••••• F•••••••• E•••••• to B••• C•••••• I••••••••• S••••••••• I••left Nov 2, 2006, registered Nov 30, 2006 (28 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address