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.
T••• J•••••• K••••••••
- P••••••• F•••• F•••••••• A•••••••• L•• state registered currentsince Feb 20, 2022 · Traverse City, Mi
- V••••••• C•••••• M••••••••• I••• otherOct 30, 2019 to Aug 11, 2021 · Charleston, Sc
- M••••• S•••••• wirehouseDec 12, 2014 to Oct 16, 2019 · Valencia, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 10, 1999 to Dec 16, 2014 · Beverly Hills, Ca
- V••••••• C•••••• M••••••••• I••• to P••••••• F•••• F•••••••• A•••••••• L••left Aug 11, 2021, registered Feb 20, 2022 (193 days) · RIA to a state-registered adviser
- M••••• S•••••• to V••••••• C•••••• M••••••••• I•••left Oct 16, 2019, registered Oct 30, 2019 (14 days) · Wirehouse to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Dec 16, 2014, registered Dec 12, 2014 (-4 days) · Wirehouse to wirehouse
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address