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•••• T••• L•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jul 8, 2004 · Safety Harbor, Fl
- G••••••• F•••••••• P••••••• C••••••••• unclassifiedSep 22, 2003 to Oct 29, 2004 · Safety Harbor, Fl
- R•••• • A••••••••• independent RIAOct 2, 1997 to Aug 4, 2003 · Safety Harbor, Fl
- G••••••• F•••••••• P••••••• C••••••••• to C••••• I••••••••• A••••••• L••left Oct 29, 2004, registered Jul 8, 2004 (-113 days) · Other
- R•••• • A••••••••• to G••••••• F•••••••• P••••••• C•••••••••left Aug 4, 2003, registered Sep 22, 2003 (49 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address