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.
P•••••• M••••• S•••••
- J• K•••••• L•• state registered currentsince Mar 20, 2018 · Deerfield, Il
- B•• A••••••• state registeredApr 19, 2016 to Sep 25, 2018 · Lake Bluff, Il
- W••••• • T•• P••••••• L•• state registeredOct 22, 2014 to May 6, 2016 · Alamo, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 13, 2012 to Oct 24, 2014 · Pleasanton, Ca
- M••••• S•••••• • C•• L•• unclassifiedJan 9, 2008 to Jan 29, 2009 · Concord, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 25, 2006 to Oct 30, 2007 · Walnut Creek, Ca
- B•• A••••••• to J• K•••••• L••left Sep 25, 2018, registered Mar 20, 2018 (-189 days) · Other
- W••••• • T•• P••••••• L•• to B•• A•••••••left May 6, 2016, registered Apr 19, 2016 (-17 days) · Other
- M•• I•••••••• S•••••••• L•• to W••••• • T•• P••••••• L••left Oct 24, 2014, registered Oct 22, 2014 (-2 days) · Other
- M••••• S•••••• • C•• L•• to M•• I•••••••• S•••••••• L••left Jan 29, 2009, registered Aug 13, 2012 (1292 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Oct 30, 2007, registered Jan 9, 2008 (71 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
- STATE REGISTEREDderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address