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.
P••••• K•• M••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Aug 19, 2015 · St. Petersburg, Fl
- K••••• P•••••• W••••• S•••••••• L•• BD affiliatedDec 15, 2014 to Aug 17, 2015 · Salt Lake City, Ut
- U•• F•••••••• S••••••• I••• wirehouseAug 25, 2010 to Sep 17, 2014 · Salt Lake City, Ut
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 13, 2010 · Salt Lake City, Ut
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 7, 2004 to Jun 1, 2009 · Salt Lake City, Ut
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 9, 2002 to Oct 8, 2002 · Salt Lake City, Ut
- K••••• P•••••• W••••• S•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Aug 17, 2015, registered Aug 19, 2015 (2 days) · Other
- U•• F•••••••• S••••••• I••• to K••••• P•••••• W••••• S•••••••• L••left Sep 17, 2014, registered Dec 15, 2014 (89 days) · Other
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Sep 13, 2010, registered Aug 25, 2010 (-19 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address