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••• C•••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 1, 2022 · Phoenix, Az
- B•• F•••••••• A••••••• BD affiliatedMay 2, 2014 to Sep 10, 2014 · Englewood, Co
- E•••••• C•••••• M••••••••• L•• formerApr 6, 2011 to Jun 3, 2014 · Arlington, Va
- C•••••• S••••• • C••• I••• national BDOct 27, 2006 to Mar 8, 2011 · Phoenix, Az
- B•• F•••••••• A••••••• to L•• F•••••••• L••left Sep 10, 2014, registered Feb 1, 2022 (2701 days) · Other
- E•••••• C•••••• M••••••••• L•• to B•• F•••••••• A•••••••left Jun 3, 2014, registered May 2, 2014 (-32 days) · Other
- C•••••• S••••• • C••• I••• to E•••••• C•••••• M••••••••• L••left Mar 8, 2011, registered Apr 6, 2011 (29 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