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.
L••• K• B••••••••
- T•• A•••••••• I••• BD affiliated currentsince Aug 7, 2024 · Summit, Nj
- D••••••••• F••• A••••••• L• asset managerAug 26, 2009 to Aug 8, 2023 · Austin, Tx
- L•• F•••••••• I••• formerSep 29, 2004 to Dec 24, 2008 · Los Angeles, Ca
- L••••• W••• C•••••• M••••••••• I••• unclassifiedFeb 19, 2003 to Sep 30, 2004 · Los Angeles, Ca
- D••••••••• F••• A••••••• L• to T•• A•••••••• I•••left Aug 8, 2023, registered Aug 7, 2024 (365 days) · Other
- L•• F•••••••• I••• to D••••••••• F••• A••••••• L•left Dec 24, 2008, registered Aug 26, 2009 (245 days) · Other
- L••••• W••• C•••••• M••••••••• I••• to L•• F•••••••• I•••left Sep 30, 2004, registered Sep 29, 2004 (-1 days) · Other
- L••• K• B•••••••• left D••••••••• F••• A••••••• L• for T•• A•••••••• I••• (registered 2024-08-07)Aug 8, 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
- 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