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.
G•••••• S•••• K••••••
- C•••••••• F••••••••• I••• BD affiliated currentsince Jan 15, 2010 · Las Vegas, Nv
- A••••••••• F•••••••• S•••••••• L•• national BDDec 5, 2008 to Jan 6, 2010 · Glendale, Ca
- S••••• F•••••••• G•••• I•• formerMay 17, 2004 to Dec 26, 2008 · Las Vegas, Nv
- U•• F•••••••• S••••••• I••• wirehouseJan 9, 2003 to Jun 4, 2004 · Las Vegas, Nv
- A••••••••• F•••••••• S•••••••• L•• to C•••••••• F••••••••• I•••left Jan 6, 2010, registered Jan 15, 2010 (9 days) · Other
- S••••• F•••••••• G•••• I•• to A••••••••• F•••••••• S•••••••• L••left Dec 26, 2008, registered Dec 5, 2008 (-21 days) · Other
- U•• F•••••••• S••••••• I••• to S••••• F•••••••• G•••• I••left Jun 4, 2004, registered May 17, 2004 (-18 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address