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.
T•••••• K•••• K•••••
- C• P••••••• C••• independent RIA currentsince Mar 20, 2023 · Spokane, Wa
- P••••••••• S••••••••• C••••••••• independent RIA currentsince May 1, 2018 · Carpinteria, Ca
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 3, 2011 to Apr 30, 2018 · Portland, Or
- V••• F•••••••• P•••••••• L•• formerMar 16, 2005 to Jan 3, 2011 · Windsor, Ct
- V••• F•••••••• A•••••••• I••• to P••••••••• S••••••••• C•••••••••left Apr 30, 2018, registered May 1, 2018 (1 days) · Affiliated broker-dealer or bank to independent RIA
- V••• F•••••••• P•••••••• L•• to V••• F•••••••• A•••••••• I•••left Jan 3, 2011, registered Jan 3, 2011 (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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address