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.
T••••• K•••• K•••
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Sep 9, 2010 · Sarasota, Fl
- J••••• H•••••••• W••• L••••• L•• formerOct 21, 2005 to Jan 7, 2008 · Fort Wayne, In
- S•••••• N••••••• • C••••••• I••••••••• national BDNov 5, 2003 to Oct 24, 2005 · Fort Wayne, In
- J••••• H•••••••• W••• L••••• L•• to T••••••• I••••••••• M••••••••• I•••left Jan 7, 2008, registered Sep 9, 2010 (976 days) · Other
- S•••••• N••••••• • C••••••• I••••••••• to J••••• H•••••••• W••• L••••• L••left Oct 24, 2005, registered Oct 21, 2005 (-3 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address