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.
G•••••• K•••••
- J•••••••• I••••••••• A••••••• L•• mixed wealth currentsince May 24, 2023 · San Francisco, Ca
- L••••••• A•••• M••••••••• L•• asset managerSep 9, 2022 to Aug 14, 2023 · San Francisco, Ca
- R•• R•••••••• L•• BD affiliatedFeb 5, 2013 to Mar 21, 2022 · New York, Ny
- R•••••••• S•••••••• I••• unclassifiedSep 26, 2000 to Oct 29, 2002 · San Francisco, Ca
- L••••••• A•••• M••••••••• L•• to J•••••••• I••••••••• A••••••• L••left Aug 14, 2023, registered May 24, 2023 (-82 days) · corporate re-registration, not a move
- R•• R•••••••• L•• to L••••••• A•••• M••••••••• L••left Mar 21, 2022, registered Sep 9, 2022 (172 days) · Affiliated broker-dealer or bank to independent RIA
- R•••••••• S•••••••• I••• to R•• R•••••••• L••left Oct 29, 2002, registered Feb 5, 2013 (3752 days) · Other
- G•••••• K••••• left R•• R•••••••• L•• for L••••••• A•••• M••••••••• L•• (registered 2022-09-09)Mar 21, 2022 · Advisor changed firm · fact
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address