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•••• K• K•• B••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jun 30, 2008 · Billings, Mt
- R•• C•••••• M••••••• L•• national BDMay 30, 2006 to Jul 9, 2008 · Great Falls, Mt
- P•••• S•••••• • C•• institutionalOct 5, 2001 to Jun 1, 2006 · Billings, Mt
- R•• C•••••• M••••••• L•• to U•• F•••••••• S••••••• I•••left Jul 9, 2008, registered Jun 30, 2008 (-9 days) · Affiliated broker-dealer or bank to wirehouse
- P•••• S•••••• • C•• to R•• C•••••• M••••••• L••left Jun 1, 2006, registered May 30, 2006 (-2 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address