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••••• A•• H••••••
- W•••• I••••••••• A•••••••• L•• other currentsince Apr 5, 2018 · Reston, Va
- K••••• A••••••• S•••••••• L•• BD affiliatedMay 5, 2016 to Apr 2, 2018 · Austin, Tx
- N•• A•••••• S•••••••• L•• formerJun 21, 2011 to Jul 11, 2016 · Washington, Dc
- L•••••• I••••••••• A•••••••• L•• no RAUMAug 25, 2010 to Jun 10, 2011 · Overland Park, Ks
- P•••••••• S••••••••• I••• BD affiliatedFeb 14, 2005 to Jul 23, 2010 · Bethesda, Md
- K••••• A••••••• S•••••••• L•• to W•••• I••••••••• A•••••••• L••left Apr 2, 2018, registered Apr 5, 2018 (3 days) · Affiliated broker-dealer or bank to another · moved with a team
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Jul 11, 2016, registered May 5, 2016 (-67 days) · Other
- L•••••• I••••••••• A•••••••• L•• to N•• A•••••• S•••••••• L••left Jun 10, 2011, registered Jun 21, 2011 (11 days) · Other
- P•••••••• S••••••••• I••• to L•••••• I••••••••• A•••••••• L••left Jul 23, 2010, registered Aug 25, 2010 (33 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
- Other adviserderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address