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• T•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 2, 2013 · New York, Ny
- P•••••••• A••••••• national BDJan 9, 2013 to Jul 1, 2013 · Gilbert, Az
- C•••••• S••••• • C••• I••• national BDOct 15, 2007 to Dec 17, 2010 · Phoenix, Az
- C•••••• S••••• • C••• I••• national BDSep 11, 2006 to Apr 18, 2007 · Phoenix, Az
- P•••••••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 1, 2013, registered Jul 2, 2013 (1 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••• S••••• • C••• I••• to P•••••••• A•••••••left Dec 17, 2010, registered Jan 9, 2013 (754 days) · Affiliated broker-dealer or bank to another
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address