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.
T••••• K••••••
- P•••••••• A••••••• national BD currentsince Feb 26, 2021 · Mesa, Az
- W•••••• S••••••••• I••• BD affiliatedJul 7, 2017 to Aug 6, 2020 · Denver, Co
- P•••••••• A••••••• national BDMay 15, 2014 to Jul 17, 2017 · Greenwood Village, Co
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 2, 2012 to Nov 5, 2013 · Santa Fe, Nm
- W•••••• S••••••••• I••• to P•••••••• A•••••••left Aug 6, 2020, registered Feb 26, 2021 (204 days) · Affiliated broker-dealer or bank to another
- P•••••••• A••••••• to W•••••• S••••••••• I•••left Jul 17, 2017, registered Jul 7, 2017 (-10 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to P•••••••• A•••••••left Nov 5, 2013, registered May 15, 2014 (191 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address