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.
J••• T•••••• K••••
- S••••• I••••••••• M••••••••• L•• independent RIA currentsince Nov 2, 2022 · Tucson, Az
- B••••••••• C•••••• M••••••••• L•• independent RIAMay 28, 2020 to Oct 6, 2022 · Tucson, Az
- S••••• I••••••••• M••••••••• L•• independent RIANov 12, 2019 to Jul 27, 2022 · Tucson, Az
- B•• T••• C•••••• M••••••••• I••• unclassifiedJan 4, 2011 to Dec 31, 2013 · San Francisco, Ca
- F••••• I••••••••• independent RIAJun 26, 2006 to Apr 23, 2007 · Plano, Tx
- B••••••••• C•••••• M••••••••• L•• to S••••• I••••••••• M••••••••• L••left Oct 6, 2022, registered Nov 2, 2022 (27 days) · RIA to RIA
- S••••• I••••••••• M••••••••• L•• to B••••••••• C•••••• M••••••••• L••left Jul 27, 2022, registered May 28, 2020 (-790 days) · RIA to RIA
- B•• T••• C•••••• M••••••••• I••• to S••••• I••••••••• M••••••••• L••left Dec 31, 2013, registered Nov 12, 2019 (2142 days) · Other
- F••••• I••••••••• to B•• T••• C•••••• M••••••••• I•••left Apr 23, 2007, registered Jan 4, 2011 (1352 days) · Other
- J••• T•••••• K•••• left B••••••••• C•••••• M••••••••• L•• for S••••• I••••••••• M••••••••• L•• (registered 2022-11-02)Oct 6, 2022 · Advisor changed firm · fact
- J••• T•••••• K•••• left S••••• I••••••••• M••••••••• L•• for B••••••••• C•••••• M••••••••• L•• (registered 2020-05-28)Jul 27, 2022 · Advisor changed firm · fact
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address