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.
J••••••• K••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Old Hickory, Tn
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDJan 25, 2017 to Jul 13, 2018 · Campbell, Ca
- S•••••••• A••••••• L•• national BDOct 19, 2010 to Oct 4, 2016 · Portland, Or
- N•••••• C•••••• M••••••••• I•• formerSep 25, 2007 to Jan 29, 2009 · Los Gatos, Ca
- A••••••••• A•••••• S•••••••• I••• unclassifiedJul 6, 2004 to Jul 7, 2006 · Austin, Tx
- U•• F•••••••• S••••••• I••• wirehouseJan 6, 1999 to Jun 16, 2004 · Austin, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- N•••••• C•••••• M••••••••• I•• to S•••••••• A••••••• L••left Jan 29, 2009, registered Oct 19, 2010 (628 days) · Other
- A••••••••• A•••••• S•••••••• I••• to N•••••• C•••••• M••••••••• I••left Jul 7, 2006, registered Sep 25, 2007 (445 days) · Other
- U•• F•••••••• S••••••• I••• to A••••••••• A•••••• S•••••••• I•••left Jun 16, 2004, registered Jul 6, 2004 (20 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address