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.
M•• J•••• M••••••••
- C•••••• C••••• G••••• I••• no RAUM currentsince Feb 26, 2014 · Los Angeles, Ca
- T•• K••••• C••••••• I••• independent RIAAug 13, 2007 to Jul 22, 2010 · Roy, Ut
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJun 26, 2007 to Aug 2, 2007 · Roy, Ut
- S•••••••• A••••••• L•• national BDOct 30, 1997 to May 28, 2004 · Salt Lake City, Ut
- T•• K••••• C••••••• I••• to C•••••• C••••• G••••• I•••left Jul 22, 2010, registered Feb 26, 2014 (1315 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to T•• K••••• C••••••• I•••left Aug 2, 2007, registered Aug 13, 2007 (11 days) · Other
- S•••••••• A••••••• L•• to R•••••• J•••• F•••••••• S•••••••• I•••left May 28, 2004, registered Jun 26, 2007 (1124 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address