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•••• M•••••• M••••••••
- C••••• I••••• W••••• independent RIA currentsince Apr 3, 2018 · Palm Beach Gardens, Fl
- R•••••• J•••• • A••••••••• I••• national BDSep 6, 2016 to Apr 30, 2018 · Palm Beach, Fl
- D••••••• B••• S••••••••• I••• no RAUMJan 11, 2011 to Sep 6, 2016 · Palm Beach, Fl
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Dec 21, 2010 · Palm Beach, Fl
- P••••••••• E••••• G••••• L•• unclassifiedSep 8, 2000 to Jul 1, 2003 · Palm Beach, Fl
- R•••••• J•••• • A••••••••• I••• to C••••• I••••• W•••••left Apr 30, 2018, registered Apr 3, 2018 (-27 days) · Affiliated broker-dealer or bank to a newly registered adviser
- D••••••• B••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 6, 2016, registered Sep 6, 2016 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to D••••••• B••• S••••••••• I•••left Dec 21, 2010, registered Jan 11, 2011 (21 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address