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.
W•••••• K•••••• Y•••• T••••
- M•••• C••••••• A••••••• S•••••• BD affiliated currentsince Feb 13, 2013 · Palm Beach Gardens, Fl
- C••• B•••••••• S•••••••• I••• formerNov 29, 2011 to Feb 8, 2013 · Camas, Wa
- C••• F•••••••• S•••••••• L••• formerDec 4, 2007 to May 27, 2009 · San Diego, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedJul 16, 2003 to Feb 6, 2004 · Bakersfield, Ca
- P••••••••• A••••••• S••••••• L•• formerApr 3, 2003 to Jul 15, 2003 · Santa Barbara, Ca
- I••• S••••••••• I••• unclassifiedNov 29, 2002 to Apr 17, 2003 · Bakersfield, Ca
- L•• F•••••••• L•• BD affiliatedOct 25, 2001 to Dec 16, 2002 · Los Angeles, Ca
- C••• B•••••••• S•••••••• I••• to M•••• C••••••• A••••••• S••••••left Feb 8, 2013, registered Feb 13, 2013 (5 days) · Other
- C••• F•••••••• S•••••••• L••• to C••• B•••••••• S•••••••• I•••left May 27, 2009, registered Nov 29, 2011 (916 days) · Other
- U••• B•••••• A•••••••• L•• to C••• F•••••••• S•••••••• L•••left Feb 6, 2004, registered Dec 4, 2007 (1397 days) · Other
- P••••••••• A••••••• S••••••• L•• to U••• B•••••• A•••••••• L••left Jul 15, 2003, registered Jul 16, 2003 (1 days) · Other
- I••• S••••••••• I••• to P••••••••• A••••••• S••••••• L••left Apr 17, 2003, registered Apr 3, 2003 (-14 days) · Other
- L•• F•••••••• L•• to I••• S••••••••• I•••left Dec 16, 2002, registered Nov 29, 2002 (-17 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address