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• C••••••
- C•••••• F••••••••• I••• state registered currentsince Sep 15, 2017 · San Diego, Ca
- W••••••••• independent RIAJul 22, 2015 to Sep 14, 2017 · La Jolla, Ca
- F•••• F•••••••• E••••• C••••••••• formerJun 3, 2011 to Aug 4, 2015 · San Diego, Ca
- W•• S••••••••• unclassifiedDec 2, 2002 to Jun 2, 2011 · San Diego, Ca
- W••••••••• to C•••••• F••••••••• I•••left Sep 14, 2017, registered Sep 15, 2017 (1 days) · Other
- F•••• F•••••••• E••••• C••••••••• to W•••••••••left Aug 4, 2015, registered Jul 22, 2015 (-13 days) · Other
- W•• S••••••••• to F•••• F•••••••• E••••• C•••••••••left Jun 2, 2011, registered Jun 3, 2011 (1 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