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.
K•••• K•••••••• A••••••
- S••••• W••••• A•••••••• I••• no RAUM currentsince Jan 23, 2015 · Phoenix, Az
- U••• F•••••••• P••••••• S••••••• formerApr 27, 2010 to Dec 2, 2014 · Phoenix, Az
- M••••••••• M••••• L••• I•••••••• C•••••• formerDec 5, 2006 to Apr 28, 2009 · Glendale, Az
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 8, 2006 to Nov 28, 2006 · Glendale, Az
- M••••••••• I••••••••• S••••••• L•• formerJun 16, 2004 to Jan 18, 2006 · Chicago, Il
- U••• F•••••••• P••••••• S••••••• to S••••• W••••• A•••••••• I•••left Dec 2, 2014, registered Jan 23, 2015 (52 days) · Other
- M••••••••• M••••• L••• I•••••••• C•••••• to U••• F•••••••• P••••••• S•••••••left Apr 28, 2009, registered Apr 27, 2010 (364 days) · Other
- M•• I•••••••• S•••••••• L•• to M••••••••• M••••• L••• I•••••••• C••••••left Nov 28, 2006, registered Dec 5, 2006 (7 days) · Other
- M••••••••• I••••••••• S••••••• L•• to M•• I•••••••• S•••••••• L••left Jan 18, 2006, registered May 8, 2006 (110 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
- No RAUM reportedderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address