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•••••• L•••• K•••••
- C•••••• S••••• • C••• I••• national BD currentsince Oct 30, 2019 · Phoenix, Az
- S••••• W••••• A•••••••• I••• no RAUMDec 2, 2016 to Jan 9, 2017 · Indianapolis, In
- K•••••• C•••••• M•••••• I••• unclassifiedOct 9, 2003 to Jul 5, 2005 · Anderson, In
- P••••••••• E••••• G••••• L•• unclassifiedJul 21, 2000 to Sep 12, 2002 · Indianapolis, In
- S••••• W••••• A•••••••• I••• to C•••••• S••••• • C••• I•••left Jan 9, 2017, registered Oct 30, 2019 (1024 days) · channel change inside one enterprise, not a move · moved with a team
- K•••••• C•••••• M•••••• I••• to S••••• W••••• A•••••••• I•••left Jul 5, 2005, registered Dec 2, 2016 (4168 days) · Other
- P••••••••• E••••• G••••• L•• to K•••••• C•••••• M•••••• I•••left Sep 12, 2002, registered Oct 9, 2003 (392 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