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•••••• L••••• F•••••••
- S•• I••••••••• A•••••••• I••• independent RIA currentsince Jan 7, 2021 · Missoula, Mt
- S••• L••• • C•••••• state registered currentsince Jan 16, 2018 · Missoula, Mt
- R•• C•••••• M••••••• L•• national BDMay 1, 2009 to Sep 9, 2014 · Missoula, Mt
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to May 1, 2009 · Missoula, Mt
- A• G• E•••••• • S•••• I••• unclassifiedDec 7, 2006 to Jan 1, 2008 · Missoula, Mt
- R•• C•••••• M••••••• L•• to S••• L••• • C••••••left Sep 9, 2014, registered Jan 16, 2018 (1225 days) · Affiliated broker-dealer or bank to a state-registered adviser
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left May 1, 2009, registered May 1, 2009 (0 days) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (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
- Independent wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address