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.
K•••• M•••••• C••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince May 24, 2022 · Indianapolis, In
- T•• B•••••• G•••• W••••• A•••••••• L•• otherJul 16, 2021 to May 6, 2022 · Tampa, Fl
- U•• A••••••• institutionalJul 31, 2018 to Jun 7, 2021 · Irvine, Ca
- M•• S••••••••• L•• formerSep 14, 2017 to Dec 18, 2017 · Los Angeles, Ca
- C•••••• C••••• G••••• I••• no RAUMJul 24, 2013 to Jun 2, 2017 · Los Angeles, Ca
- P•••••••• S••••••••• I••• BD affiliatedAug 21, 2007 to Apr 1, 2010 · Chesterfield, Mo
- T•• B•••••• G•••• W••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 6, 2022, registered May 24, 2022 (18 days) · Other
- U•• A••••••• to T•• B•••••• G•••• W••••• A•••••••• L••left Jun 7, 2021, registered Jul 16, 2021 (39 days) · Other
- M•• S••••••••• L•• to U•• A•••••••left Dec 18, 2017, registered Jul 31, 2018 (225 days) · Other
- C•••••• C••••• G••••• I••• to M•• S••••••••• L••left Jun 2, 2017, registered Sep 14, 2017 (104 days) · Other
- P•••••••• S••••••••• I••• to C•••••• C••••• G••••• I•••left Apr 1, 2010, registered Jul 24, 2013 (1210 days) · Other
- K•••• M•••••• C•••••• left T•• B•••••• G•••• W••••• A•••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-05-24)May 6, 2022 · 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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address