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.
R••••• K••••••• K••••
- L••••• C•••••• M••••••••• I••• state registered currentsince Aug 28, 2015 · Santa Barbara, Ca
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Dec 14, 2015 · Santa Barbara, Ca
- A••••••••• P••••••• I••••••••• A••••••• I•• unclassifiedJul 17, 2003 to Oct 13, 2009 · Santa Barbara, Ca
- A••••••••• S••••••••• C•••• unclassifiedJul 17, 2003 to Sep 8, 2009 · Santa Barbara, Ca
- P••••••••• E••••• G••••• L•• unclassifiedMar 27, 1998 to Apr 14, 2003 · Santa Barbara, Ca
- L•• F•••••••• L•• to L••••• C•••••• M••••••••• I•••left Dec 14, 2015, registered Aug 28, 2015 (-108 days) · Other · moved with a team
- A••••••••• P••••••• I••••••••• A••••••• I•• to L•• F•••••••• L••left Oct 13, 2009, registered Sep 8, 2009 (-35 days) · Other
- A••••••••• S••••••••• C•••• to A••••••••• P••••••• I••••••••• A••••••• I••left Sep 8, 2009, registered Jul 17, 2003 (-2245 days) · Other
- P••••••••• E••••• G••••• L•• to A••••••••• S••••••••• C••••left Apr 14, 2003, registered Jul 17, 2003 (94 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
- STATE REGISTEREDderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address