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.
N•••• K• W••••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Palo Alto, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerDec 16, 2021 to Mar 31, 2025 · Salt Lake City, Ut
- F••••• I••••••••• independent RIADec 17, 2014 to Aug 2, 2016 · Corona, Ca
- C••••••• P••••••• independent RIAJun 21, 2011 to May 16, 2014 · Corona, Ca
- R•••• C•••••• M••••••••• L•• formerAug 3, 2010 to Jul 1, 2011 · Corona, Ca
- C•••••• S••••• • C••• I••• national BDMay 18, 2005 to May 5, 2010 · Pasadena, Ca
- S•••••••• A••••••• L•• national BDAug 12, 2003 to May 19, 2005 · Salt Lake City, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- F••••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 2, 2016, registered Dec 16, 2021 (1962 days) · Other
- C••••••• P••••••• to F••••• I•••••••••left May 16, 2014, registered Dec 17, 2014 (215 days) · Other
- R•••• C•••••• M••••••••• L•• to C••••••• P•••••••left Jul 1, 2011, registered Jun 21, 2011 (-10 days) · Other
- C•••••• S••••• • C••• I••• to R•••• C•••••• M••••••••• L••left May 5, 2010, registered Aug 3, 2010 (90 days) · Other
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left May 19, 2005, registered May 18, 2005 (-1 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address