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••
- O•••• W•••••• I••• BD affiliated currentsince Apr 5, 2024 · Las Vegas, Nv
- P•••• S••••••••• L•• no RAUMApr 10, 2019 to Apr 8, 2024 · Las Vegas, Nv
- C••••• M•••••• independent RIAJun 15, 2018 to Dec 3, 2018 · Las Vegas, Nv
- M•• I•••••••• S•••••••• L•• BD affiliatedOct 6, 2016 to May 21, 2018 · Las Vegas, Nv
- P•••• S••••••••• L•• to O•••• W•••••• I•••left Apr 8, 2024, registered Apr 5, 2024 (-3 days) · Affiliated broker-dealer or bank to another
- C••••• M•••••• to P•••• S••••••••• L••left Dec 3, 2018, registered Apr 10, 2019 (128 days) · RIA to affiliated broker-dealer or bank
- M•• I•••••••• S•••••••• L•• to C••••• M••••••left May 21, 2018, registered Jun 15, 2018 (25 days) · Affiliated broker-dealer or bank to independent RIA
- K••• L•• left P•••• S••••••••• L•• for O•••• W•••••• I••• (registered 2024-04-05)Apr 8, 2024 · 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