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•••••• H•••• K••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 23, 2009 · Bradenton, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJun 3, 2008 to Oct 23, 2009 · Bradenton, Fl
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 2, 2008 · Bradenton, Fl
- M••••• S•••••• D• I••• unclassifiedJan 1, 1991 to Apr 2, 2007 · Bradenton, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• • C•• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jun 2, 2008, registered Jun 3, 2008 (1 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address