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.
C••••• K•••••• B••••••
- K•••••••• W••••• A•••••••• L•• BD affiliated currentsince Jun 21, 2022 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 10, 2013 to Jun 22, 2022 · Mill Valley, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 7, 2013 · San Rafael, Ca
- M••••• S•••••• • C•• L•• unclassifiedFeb 19, 2008 to Jun 1, 2009 · San Rafael, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Mar 3, 2008 · Mill Valley, Ca
- C••••••• I••••••••• S••••••• unclassifiedAug 29, 2002 to May 29, 2007 · Mill Valley, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to K•••••••• W••••• A•••••••• L••left Jun 22, 2022, registered Jun 21, 2022 (-1 days) · Wirehouse to independent RIA
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 7, 2013, registered May 10, 2013 (-28 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to M••••• S•••••• • C•• L••left Mar 3, 2008, registered Feb 19, 2008 (-13 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- C••••• K•••••• B•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for K•••••••• W••••• A•••••••• L•• (registered 2022-06-21)Jun 22, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address