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.
J•••• C••••• K••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 9, 2010 · Prairie Village, Ks
- M••••• K••••• • C••••••• L•• formerOct 28, 2005 to Aug 11, 2009 · St. Louis, Mo
- A••••••••• A•••••• S•••••••• I••• unclassifiedNov 20, 2003 to Oct 25, 2005 · Clayton, Mo
- M••••• S•••••• D• I••• unclassifiedSep 4, 2002 to Jul 10, 2003 · Chesterfield, Mo
- M••••• K••••• • C••••••• L•• to L•• F•••••••• L••left Aug 11, 2009, registered Dec 9, 2010 (485 days) · Other
- A••••••••• A•••••• S•••••••• I••• to M••••• K••••• • C••••••• L••left Oct 25, 2005, registered Oct 28, 2005 (3 days) · Other
- M••••• S•••••• D• I••• to A••••••••• A•••••• S•••••••• I•••left Jul 10, 2003, registered Nov 20, 2003 (133 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address