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••••• A•• G••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Dec 3, 2019 · Pasadena, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJan 27, 2009 to Jan 2, 2018 · El Segundo, Ca
- U••• F•••••••• P••••••• S••••••• formerApr 3, 2006 to May 16, 2007 · Phoenix, Az
- T• A••••••••• I••• formerSep 9, 2003 to Nov 3, 2004 · Cary, Nc
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to A••••• A•• P••••••• S•••••••left Jan 2, 2018, registered Dec 3, 2019 (700 days) · Other
- U••• F•••••••• P••••••• S••••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left May 16, 2007, registered Jan 27, 2009 (622 days) · Other
- T• A••••••••• I••• to U••• F•••••••• P••••••• S•••••••left Nov 3, 2004, registered Apr 3, 2006 (516 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address