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.
S•••••••• G••••••••• K•••
- R•• C•••••• M••••••• L•• national BD currentsince Jan 9, 2013 · Cedar Rapids, Ia
- M••••• S•••••• wirehouseFeb 2, 2012 to Jan 31, 2013 · Cedar Rapids, Ia
- R•• C•••••• M••••••• L•• national BDMay 27, 2005 to Feb 14, 2012 · Cedar Rapids, Ia
- W•••• F•••• I••••••••• L•• unclassifiedMay 15, 2002 to Jun 2, 2005 · Cedar Rapids, Ia
- S••••••••• C••••••••• O• I••• unclassifiedApr 10, 2002 to May 2, 2002 · Cedar Rapids, Ia
- M••••• S•••••• to R•• C•••••• M••••••• L••left Jan 31, 2013, registered Jan 9, 2013 (-22 days) · Wirehouse to affiliated broker-dealer or bank
- R•• C•••••• M••••••• L•• to M••••• S••••••left Feb 14, 2012, registered Feb 2, 2012 (-12 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• I••••••••• L•• to R•• C•••••• M••••••• L••left Jun 2, 2005, registered May 27, 2005 (-6 days) · Other
- S••••••••• C••••••••• O• I••• to W•••• F•••• I••••••••• L••left May 2, 2002, registered May 15, 2002 (13 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address