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•••••• K•••••• W•
- O•••• W•••••• I••• BD affiliated currentsince Nov 3, 2023 · Irvine, Ca
- S•••••••• E••••• P•••••••• L••• independent RIAOct 29, 2015 to Oct 20, 2016 · Irvine, Ca
- F•• S••••••••• C••••••••• formerJul 26, 2004 to Nov 3, 2023 · Irvine, Ca
- O•••• F•• I••• formerNov 20, 1995 to Apr 23, 2004 · Glendale, Ca
- F•• S••••••••• C••••••••• to S•••••••• E••••• P•••••••• L•••left Nov 3, 2023, registered Oct 29, 2015 (-2927 days) · Other · moved with a team
- S•••••••• E••••• P•••••••• L••• to O•••• W•••••• I•••left Oct 20, 2016, registered Nov 3, 2023 (2570 days) · Other
- O•••• F•• I••• to F•• S••••••••• C•••••••••left Apr 23, 2004, registered Jul 26, 2004 (94 days) · Other
- K•••••• K•••••• W• left F•• S••••••••• C••••••••• for S•••••••• E••••• P•••••••• L••• (registered 2015-10-29)Nov 3, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address