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•••••• T•••• T•••••
- K••• W••••• P••••••• A••••••• independent RIA currentsince Jul 12, 2017 · K•••Ville, Tn
- W•••• F•••• A••••••• wirehouseDec 10, 2008 to Apr 16, 2012 · K•••Ville, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 23, 2003 to Dec 9, 2008 · K•••Ville, Tn
- W•••• F•••• A••••••• to K••• W••••• P••••••• A•••••••left Apr 16, 2012, registered Jul 12, 2017 (1913 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Dec 9, 2008, registered Dec 10, 2008 (1 days) · Wirehouse to wirehouse
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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address