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.
A••••••••• K•••••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Oct 3, 2023 · Glendale, Ca
- O•••• W•••••• I••• BD affiliatedSep 1, 2023 to Oct 6, 2023 · Glendale, Ca
- S•••••••• F••••••••• I••• formerMay 16, 2011 to Sep 1, 2023 · Newbury Park, Ca
- N••• F•••••••• G••••• I••• formerJun 22, 2005 to May 17, 2011 · Glendale, Ca
- B•• W••••• M••••••••• I••• state registeredJul 1, 2002 to Jun 24, 2005 · Pasadena, Ca
- A••••••••• P••••••• I••••••••• A••••••• I•• unclassifiedJun 18, 2001 to Jul 11, 2005 · Pasadena, Ca
- O•••• W•••••• I••• to K••••• A••••••• S•••••••• L••left Oct 6, 2023, registered Oct 3, 2023 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- N••• F•••••••• G••••• I••• to S•••••••• F••••••••• I•••left May 17, 2011, registered May 16, 2011 (-1 days) · Other
- A••••••••• P••••••• I••••••••• A••••••• I•• to B•• W••••• M••••••••• I•••left Jul 11, 2005, registered Jul 1, 2002 (-1106 days) · Other
- B•• W••••• M••••••••• I••• to N••• F•••••••• G••••• I•••left Jun 24, 2005, registered Jun 22, 2005 (-2 days) · Other
- A••••••••• K••••••• left O•••• W•••••• I••• for K••••• A••••••• S•••••••• L•• (registered 2023-10-03)Oct 6, 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