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.
W•••••• T••• M•••••••••
- S••••••• I••••••••• A•••••••• I••• other currentsince Jun 21, 2021 · Portland, Or
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 18, 2016 to Mar 10, 2021 · Glendale, Ca
- N•• A•••••• S•••••••• L•• formerAug 28, 2015 to Sep 22, 2016 · Glendale, Ca
- S••••••• I••••••••• A•••••••• I••• otherJun 20, 2011 to Aug 3, 2015 · Orange, Ca
- K••••• A••••••• S•••••••• L•• to S••••••• I••••••••• A•••••••• I•••left Mar 10, 2021, registered Jun 21, 2021 (103 days) · Other
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 18, 2016 (-157 days) · corporate re-registration, not a move
- S••••••• I••••••••• A•••••••• I••• to N•• A•••••• S•••••••• L••left Aug 3, 2015, registered Aug 28, 2015 (25 days) · Other · moved with a team
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
- Other adviserderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address