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••••• G•••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Madison, Wi
- C••• B•••••••• S•••••••• I••• formerMay 25, 2021 to May 18, 2022 · Brentwood, Tn
- E•••••• A••••••• G••••• L•• BD affiliatedJun 24, 2019 to May 7, 2021 · Greenwood Village, Co
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedApr 24, 2002 to Mar 30, 2005 · Tampa, Fl
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- E•••••• A••••••• G••••• L•• to C••• B•••••••• S•••••••• I•••left May 7, 2021, registered May 25, 2021 (18 days) · Other
- T• R••• P•••• A••••••• S•••••••• I••• to E•••••• A••••••• G••••• L••left Mar 30, 2005, registered Jun 24, 2019 (5199 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address