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.
B••••••• K••• G•••••
- B•• F•••••••• A••••••• BD affiliated currentsince Jun 4, 2018 · Plano, Tx
- U••• B•••••• I••••••••• I••• formerMar 31, 2016 to Jun 8, 2018 · Albuquerque, Nm
- B•• F•••••••• A••••••• BD affiliatedApr 9, 2008 to Apr 28, 2016 · Albuquerque, Nm
- A••••••••• A•••••• S•••••••• I••• unclassifiedJul 3, 2003 to Apr 15, 2008 · Albuquerque, Nm
- U••• B•••••• I••••••••• I••• to B•• F•••••••• A•••••••left Jun 8, 2018, registered Jun 4, 2018 (-4 days) · Affiliated broker-dealer or bank to another
- B•• F•••••••• A••••••• to U••• B•••••• I••••••••• I•••left Apr 28, 2016, registered Mar 31, 2016 (-28 days) · Other
- A••••••••• A•••••• S•••••••• I••• to B•• F•••••••• A•••••••left Apr 15, 2008, registered Apr 9, 2008 (-6 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