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•••• D•••••• O•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 21, 2021 · Great Falls, Mt
- W•••••• • R••• formerJan 7, 2020 to Jul 21, 2021 · Havre, Mt
- D••• D••••••• • C•• independent RIAJan 15, 2019 to Jun 20, 2019 · Great Falls, Mt
- W•••••• • R••• formerNov 1, 2010 to Dec 12, 2018 · Great Falls, Mt
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- D••• D••••••• • C•• to W•••••• • R•••left Jun 20, 2019, registered Jan 7, 2020 (201 days) · RIA to affiliated broker-dealer or bank
- W•••••• • R••• to D••• D••••••• • C••left Dec 12, 2018, registered Jan 15, 2019 (34 days) · Affiliated broker-dealer or bank to independent RIA
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address