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••• K• S••••
- R•• C•••••• M••••••• L•• national BD currentsince Feb 22, 2017 · Dakota Dunes, Sd
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 23, 2017 · Sioux City, Ia
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 9, 2008 to Jun 1, 2009 · Sioux City, Ia
- F•• P•••••• W••••• M••••••••• I••• independent RIAFeb 15, 2002 to Jun 25, 2008 · Sioux City, Ia
- M••••• S•••••• to R•• C•••••• M••••••• L••left Feb 23, 2017, registered Feb 22, 2017 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- F•• P•••••• W••••• M••••••••• I••• to C•••••••• G••••• M•••••• I•••left Jun 25, 2008, registered Jun 9, 2008 (-16 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address