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••• C•••••• J••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Oct 23, 2015 · Arroyo Grande, Ca
- N•• A•••••• S•••••••• L•• formerJan 9, 2008 to Oct 22, 2015 · Austin, Tx
- U•• F•••••••• S••••••• I••• wirehouseDec 13, 2002 to Jan 17, 2008 · San Luis Obispo, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 8, 1997 to Dec 16, 2002 · Santa Barbara, Ca
- N•• A•••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left Oct 22, 2015, registered Oct 23, 2015 (1 days) · Other · moved with a team
- U•• F•••••••• S••••••• I••• to N•• A•••••• S•••••••• L••left Jan 17, 2008, registered Jan 9, 2008 (-8 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Dec 16, 2002, registered Dec 13, 2002 (-3 days) · Wirehouse to wirehouse
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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address