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••••••• A•• H••••
- N•• L••• F•••••••• L•• state registered currentsince Oct 5, 2017 · Prescott Valley, Az
- M•••• C••••••• A••••••• S•••••• BD affiliatedNov 19, 2013 to Dec 31, 2015 · Greenwood, In
- N•• L••• F•••••••• L•• unclassifiedJan 30, 2013 to Jan 31, 2013 · Greenwood, In
- W•••••• • R••• formerJan 13, 1999 to Dec 31, 2011 · Greenwood, In
- M•••• C••••••• A••••••• S•••••• to N•• L••• F•••••••• L••left Dec 31, 2015, registered Oct 5, 2017 (644 days) · Other
- N•• L••• F•••••••• L•• to M•••• C••••••• A••••••• S••••••left Jan 31, 2013, registered Nov 19, 2013 (292 days) · Other
- W•••••• • R••• to N•• L••• F•••••••• L••left Dec 31, 2011, registered Jan 30, 2013 (396 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address