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•••••• S• K••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince May 9, 2012 · Ladera Ranch, Ca
- W•••••• • R••• formerDec 9, 2010 to Apr 24, 2012 · Brea, Ca
- C•••••• L•• independent RIAMay 10, 2005 to Jan 5, 2009 · Irvine, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Nov 18, 2004 · Baltimore, Md
- P••••••••• E••••• G••••• L•• unclassifiedApr 15, 2002 to Jul 1, 2003 · Baltimore, Md
- W•••••• • R••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 24, 2012, registered May 9, 2012 (15 days) · Other
- C•••••• L•• to W•••••• • R•••left Jan 5, 2009, registered Dec 9, 2010 (703 days) · Other
- W•••• F•••• A••••••• to C•••••• L••left Nov 18, 2004, registered May 10, 2005 (173 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address