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.
P••••••• K•• D•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Reno, Nv
- P•••••• W••• F•••••••• C••••••••• I•• formerJul 5, 2007 to Feb 28, 2012 · Renton, Wa
- F•••• W••• S••••• C•••• unclassifiedMay 22, 2003 to Jul 6, 2007 · Reno, Nv
- W•••• F•••• A••••••• wirehouseMar 18, 2002 to Jun 2, 2003 · Reno, Nv
- P•••••• W••• F•••••••• C••••••••• I•• to C••••• I••••••••• A••••••• L••left Feb 28, 2012, registered Mar 21, 2024 (4405 days) · Other
- F•••• W••• S••••• C•••• to P•••••• W••• F•••••••• C••••••••• I••left Jul 6, 2007, registered Jul 5, 2007 (-1 days) · Other
- W•••• F•••• A••••••• to F•••• W••• S••••• C••••left Jun 2, 2003, registered May 22, 2003 (-11 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address