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•••••• D••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Feb 28, 2024 · Tacoma, Wa
- C••••• I••••••••• A••••••• L•• BD affiliatedFeb 19, 2020 to Oct 18, 2023 · Tacoma, Wa
- R•• C•••••• M••••••• L•• national BDJan 3, 2017 to Apr 3, 2018 · Eagle, Id
- Y••••••••• P••••••• formerDec 18, 2009 to Apr 10, 2017 · Cedar City, Ut
- Z•••• C•••••• A•••••••• I••• institutionalOct 4, 2006 to Oct 26, 2009 · Cedar City, Ut
- Z•••• D•••••• I••• unclassifiedApr 3, 2006 to Oct 3, 2006 · Cedar City, Ut
- W•••• F•••• I••••••••• L•• unclassifiedMay 14, 2004 to Aug 2, 2005 · Cedar City, Ut
- W•••• F•••• I••••••••• L•• unclassifiedSep 11, 2002 to May 1, 2003 · Missoula, Mt
- C••••• I••••••••• A••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 18, 2023, registered Feb 28, 2024 (133 days) · corporate re-registration, not a move
- R•• C•••••• M••••••• L•• to C••••• I••••••••• A••••••• L••left Apr 3, 2018, registered Feb 19, 2020 (687 days) · Affiliated broker-dealer or bank to another
- Y••••••••• P••••••• to R•• C•••••• M••••••• L••left Apr 10, 2017, registered Jan 3, 2017 (-97 days) · Other
- Z•••• C•••••• A•••••••• I••• to Y••••••••• P•••••••left Oct 26, 2009, registered Dec 18, 2009 (53 days) · Other
- Z•••• D•••••• I••• to Z•••• C•••••• A•••••••• I•••left Oct 3, 2006, registered Oct 4, 2006 (1 days) · Other
- W•••• F•••• I••••••••• L•• to Z•••• D•••••• I•••left Aug 2, 2005, registered Apr 3, 2006 (244 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address