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.
R•••••• M•••••• K•••
- G••••• W••••• M••••••••• I••• BD affiliated currentsince Apr 2, 2013 · Grand Junction, Co
- K••••• W••••• M••••••••• formerMar 9, 2012 to May 2, 2013 · Burns, Wy
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 10, 2003 to Feb 28, 2012 · Grand Junction, Co
- K••••• W••••• M••••••••• to G••••• W••••• M••••••••• I•••left May 2, 2013, registered Apr 2, 2013 (-30 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to K••••• W••••• M•••••••••left Feb 28, 2012, registered Mar 9, 2012 (10 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address