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••••• M••••
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliated currentsince Aug 23, 2017 · San Francisco, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to Sep 1, 2017 · San Francisco, Ca
- A••••••••• A•••••• S•••••••• I••• unclassifiedOct 24, 2005 to Oct 5, 2009 · San Francisco, Ca
- M••••• S•••••• D• I••• unclassifiedJul 17, 2001 to Oct 25, 2005 · San Mateo, Ca
- A••••••••• F•••••••• S•••••••• L•• to I••••••••• A••••• I••••••••• M••••••••• L••left Sep 1, 2017, registered Aug 23, 2017 (-9 days) · Other
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to A••••••••• A•••••• S•••••••• I•••left Oct 25, 2005, registered Oct 24, 2005 (-1 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