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•••••• G••••• K••••
- C••••••••• F•••••••• N•••••• national BD currentsince Apr 6, 2023 · Phoenix, Az
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIAMay 15, 2020 to Mar 31, 2023 · Phoenix, Az
- C••••••• M••••••••• I••••••••• A•••••••• L•• asset managerJun 25, 2009 to May 18, 2010 · Boston, Ma
- P•••••••• S••••••••• I•• independent RIASep 6, 2006 to Feb 23, 2007 · Tacoma, Wa
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to C••••••••• F•••••••• N••••••left Mar 31, 2023, registered Apr 6, 2023 (6 days) · RIA to affiliated broker-dealer or bank
- C••••••• M••••••••• I••••••••• A•••••••• L•• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left May 18, 2010, registered May 15, 2020 (3650 days) · Other
- P•••••••• S••••••••• I•• to C••••••• M••••••••• I••••••••• A•••••••• L••left Feb 23, 2007, registered Jun 25, 2009 (853 days) · Other
- J•••••• G••••• K•••• left U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• for C••••••••• F•••••••• N•••••• (registered 2023-04-06)Mar 31, 2023 · Advisor changed firm · fact
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address