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•••• K•••••
- V••••• I••••••••• A•••••••• L•• asset manager currentsince Apr 1, 2020 · Hartford, Ct
- A••••••••• L••• otherAug 16, 2019 to Apr 1, 2020 · New York, Ny
- N•• Y••• L••• I••••••••• M••••••••• L•• asset managerMay 14, 2014 to Jul 10, 2019 · New Y•••, Ny
- V••• I••••••••• M••••••••• C•• L•• asset managerMar 9, 2012 to Apr 24, 2014 · New Y•••, Ny
- W•••• F•••• A••••••• wirehouseOct 8, 2008 to Feb 10, 2012 · Hartford, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 4, 2006 to Feb 5, 2008 · Hartford, Ct
- M••••• S•••••• D• I••• unclassifiedJun 28, 2005 to Dec 1, 2005 · Hartford, Ct
- A••••••••• L••• to V••••• I••••••••• A•••••••• L••left Apr 1, 2020, registered Apr 1, 2020 (0 days) · Other
- N•• Y••• L••• I••••••••• M••••••••• L•• to A••••••••• L•••left Jul 10, 2019, registered Aug 16, 2019 (37 days) · Other
- V••• I••••••••• M••••••••• C•• L•• to N•• Y••• L••• I••••••••• M••••••••• L••left Apr 24, 2014, registered May 14, 2014 (20 days) · Other
- W•••• F•••• A••••••• to V••• I••••••••• M••••••••• C•• L••left Feb 10, 2012, registered Mar 9, 2012 (28 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Feb 5, 2008, registered Oct 8, 2008 (246 days) · Wirehouse to wirehouse
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 1, 2005, registered Jan 4, 2006 (34 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address