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•••• A••••••••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Aug 4, 2016 · Goodyear, Az
- K••••• A•••••••• I••• BD affiliatedOct 18, 2006 to Aug 1, 2016 · Ft. Lauderdale, Fl
- C•••• C•••••• S••••••••• L••• formerJun 3, 2005 to Aug 17, 2005 · Amarillo, Tx
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerApr 1, 2003 to Jun 3, 2005 · Denver, Co
- K••••• A•••••••• I••• to I••••••••• F•••••••• G••••• L••left Aug 1, 2016, registered Aug 4, 2016 (3 days) · Other
- C•••• C•••••• S••••••••• L••• to K••••• A•••••••• I•••left Aug 17, 2005, registered Oct 18, 2006 (427 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to C•••• C•••••• S••••••••• L•••left Jun 3, 2005, registered Jun 3, 2005 (0 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
- 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