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•••••• B••••• S••••
- M•••••• W••••• M••••••••• independent RIA currentsince Nov 1, 2024 · Brooklyn, Ny
- A••••• A•• P••••••• S••••••• BD affiliatedOct 10, 2017 to Jul 30, 2024 · San Antonio, Tx
- M••••• S•••••• wirehouseMar 31, 2015 to Sep 8, 2017 · Greenwich, Ct
- U••• B•••••• A•••••••• L•• BD affiliatedNov 25, 2005 to Aug 17, 2009 · Orange, Ca
- A••••• A•• P••••••• S••••••• to M•••••• W••••• M•••••••••left Jul 30, 2024, registered Nov 1, 2024 (94 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• S•••••• to A••••• A•• P••••••• S•••••••left Sep 8, 2017, registered Oct 10, 2017 (32 days) · Other
- U••• B•••••• A•••••••• L•• to M••••• S••••••left Aug 17, 2009, registered Mar 31, 2015 (2052 days) · Other
- K•••••• B••••• S•••• left A••••• A•• P••••••• S••••••• for M•••••• W••••• M••••••••• (registered 2024-11-01)Jul 30, 2024 · 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address