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.
D•••• Y•••••• Y••
- K••••• P•••••• W••••• S•••••••• L•• BD affiliated currentsince Apr 27, 2012 · Austin, Tx
- W•••• F•••• A••••••• wirehouseApr 27, 2007 to May 1, 2012 · Woodland Hills, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 21, 2001 to May 7, 2007 · Woodland Hills, Ca
- W•••• F•••• A••••••• to K••••• P•••••• W••••• S•••••••• L••left May 1, 2012, registered Apr 27, 2012 (-4 days) · Other
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left May 7, 2007, registered Apr 27, 2007 (-10 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