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.
R••••• A•••• K•••••
- K••••• I••••••••• A•••••••• I••• state registered currentsince Apr 3, 2012 · Topanga, Ca
- S••••• F•••••••• G•••• I•• formerFeb 11, 2011 to Mar 27, 2012 · Topanga, Ca
- A••••••• A••••••• S••••••• formerSep 18, 2007 to Mar 7, 2011 · Lincoln, Ne
- P••• A••••• S••••••••• L•• BD affiliatedMay 8, 2003 to Sep 17, 2007 · Glendale, Ca
- S••••• F•••••••• G•••• I•• to K••••• I••••••••• A•••••••• I•••left Mar 27, 2012, registered Apr 3, 2012 (7 days) · Other
- A••••••• A••••••• S••••••• to S••••• F•••••••• G•••• I••left Mar 7, 2011, registered Feb 11, 2011 (-24 days) · Other
- P••• A••••• S••••••••• L•• to A••••••• A••••••• S•••••••left Sep 17, 2007, registered Sep 18, 2007 (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
- STATE REGISTEREDderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address