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•••• L••
- C•••••••• F••••••••• I••• BD affiliated currentsince Sep 19, 2017 · Anaheim, Ca
- G••••• C•••••• • A••••••••• formerAug 17, 2009 to Mar 15, 2010 · Irvine, Ca
- N•••••• C•••• A•••• M••••••••• formerDec 5, 2007 to Aug 20, 2009 · Irvine, Ca
- M••••• S•••••• D• I••• unclassifiedMar 4, 2003 to Jun 30, 2003 · Palo Alto, Ca
- G••••• C•••••• • A••••••••• to C•••••••• F••••••••• I•••left Mar 15, 2010, registered Sep 19, 2017 (2745 days) · Other
- N•••••• C•••• A•••• M••••••••• to G••••• C•••••• • A•••••••••left Aug 20, 2009, registered Aug 17, 2009 (-3 days) · Other
- M••••• S•••••• D• I••• to N•••••• C•••• A•••• M•••••••••left Jun 30, 2003, registered Dec 5, 2007 (1619 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address