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•••• B••••• K•••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 4, 2019 · Beverly Hills, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedAug 24, 2015 to Dec 23, 2019 · Glendale, Ca
- S••••••••• I••••••••• L•• unclassifiedMar 5, 2015 to Jan 5, 2016 · Beverly Hills, Ca
- B••••••••• C•••••• M••••••••• L•• independent RIAMay 29, 2014 to Dec 1, 2014 · Beverly Hills, Ca
- R•••• A••••••• S•••••••• I••• independent RIAOct 10, 2012 to Sep 24, 2013 · Beverly Hills, Ca
- C•••• I••••••••• S••••••• C•••• formerDec 19, 2008 to Oct 12, 2010 · Manhattan Beach, Ca
- F•••• H•••••• A•••••••• I•• formerDec 6, 2007 to Jul 31, 2008 · Morristown, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 31, 1997 to Feb 16, 2006 · Houston, Tx
- V•••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left Dec 23, 2019, registered Dec 4, 2019 (-19 days) · Affiliated broker-dealer or bank to another
- S••••••••• I••••••••• L•• to V•••• F•••••••• A•••••••• I•••left Jan 5, 2016, registered Aug 24, 2015 (-134 days) · Other
- B••••••••• C•••••• M••••••••• L•• to S••••••••• I••••••••• L••left Dec 1, 2014, registered Mar 5, 2015 (94 days) · Other
- R•••• A••••••• S•••••••• I••• to B••••••••• C•••••• M••••••••• L••left Sep 24, 2013, registered May 29, 2014 (247 days) · Other
- C•••• I••••••••• S••••••• C•••• to R•••• A••••••• S•••••••• I•••left Oct 12, 2010, registered Oct 10, 2012 (729 days) · Other
- F•••• H•••••• A•••••••• I•• to C•••• I••••••••• S••••••• C••••left Jul 31, 2008, registered Dec 19, 2008 (141 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•••• H•••••• A•••••••• I••left Feb 16, 2006, registered Dec 6, 2007 (658 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