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••••• D••••
- A••••••• F••••••••• L••• BD affiliated currentsince Feb 1, 2016 · Folsom, Ca
- A••••• A•• P••••••• S••••••• BD affiliatedOct 29, 2014 to Dec 3, 2015 · Pasadena, Ca
- C•••••• S••••• • C••• I••• national BDFeb 27, 2014 to Sep 26, 2014 · Santa Barbara, Ca
- S•••••••• A••••••• L•• national BDJun 13, 2001 to Jun 23, 2009 · Tysons Corner, Va
- A••••• A•• P••••••• S••••••• to A••••••• F••••••••• L•••left Dec 3, 2015, registered Feb 1, 2016 (60 days) · Other
- C•••••• S••••• • C••• I••• to A••••• A•• P••••••• S•••••••left Sep 26, 2014, registered Oct 29, 2014 (33 days) · Other
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Jun 23, 2009, registered Feb 27, 2014 (1710 days) · Affiliated broker-dealer or bank to another
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address