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.
T••• M•••••• K•••••
- M••••••• I••••••••• M••••••••• L•• independent RIA currentsince May 27, 2020 · Largo, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJul 2, 2013 to Jun 4, 2020 · Littleton, Co
- G••••• W••••• M••••••••• I••• BD affiliatedFeb 19, 2008 to Mar 17, 2008 · Denver, Co
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M••••••• I••••••••• M••••••••• L••left Jun 4, 2020, registered May 27, 2020 (-8 days) · Affiliated broker-dealer or bank to independent RIA
- G••••• W••••• M••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 17, 2008, registered Jul 2, 2013 (1933 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address