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.
A••••• R••• K••••
- K•••• F•••••••• S••••••• state registered currentsince Mar 18, 2019 · Petaluma, Ca
- F•••• A••••••••• F•••••••• N•••••• L•• independent RIAOct 16, 2007 to Jan 6, 2010 · Berkeley, Ca
- L•••••• P••• C••••••••• unclassifiedOct 9, 2007 to Apr 11, 2014 · El Cerrito, Ca
- L•••• J••••• unclassifiedOct 4, 2007 to Mar 28, 2014 · Berkeley, Ca
- L•••••• P••• C••••••••• to F•••• A••••••••• F•••••••• N•••••• L••left Apr 11, 2014, registered Oct 16, 2007 (-2369 days) · Other
- L•••• J••••• to L•••••• P••• C•••••••••left Mar 28, 2014, registered Oct 9, 2007 (-2362 days) · Other
- F•••• A••••••••• F•••••••• N•••••• L•• to K•••• F•••••••• S•••••••left Jan 6, 2010, registered Mar 18, 2019 (3358 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
- STATE REGISTEREDderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address