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.
C••• M• A••••••
- K••• C•••••• P••••••• independent RIA currentsince Jan 1, 2025 · Granite Bay, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 4, 2023 · Folsom, Ca
- M••••• S•••••• • C•• L•• unclassifiedDec 3, 2007 to Jun 1, 2009 · Folsom, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Dec 4, 2007 · Folsom, Ca
- P••••••••• E••••• G••••• L•• unclassifiedSep 28, 2000 to Jul 1, 2003 · Roseville, Ca
- M••••• S•••••• to K••• C•••••• P•••••••left Oct 4, 2023, registered Jan 1, 2025 (455 days) · Wirehouse to independent RIA
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to M••••• S•••••• • C•• L••left Dec 4, 2007, registered Dec 3, 2007 (-1 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- C••• M• A•••••• left M••••• S•••••• for K••• C•••••• P••••••• (registered 2025-01-01)Oct 4, 2023 · 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