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••••••• M•••• G••••••
- T••••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Jun 28, 2017 · Cedar Rapids, Ia
- S••••••• I••••••••• I••• formerMay 13, 2016 to Mar 7, 2017 · St. Petersburg, Fl
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedMar 4, 2014 to May 13, 2016 · Goose Creek, Sc
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJul 31, 2006 to Aug 15, 2013 · St. Petersburg, Fl
- U•• F•••••••• S••••••• I••• wirehouseMar 19, 2004 to Jan 6, 2006 · Beachwood, Oh
- B••• O•• S••••••••• C••••••••• unclassifiedMay 21, 2003 to Mar 15, 2004 · Cleveland, Oh
- S••••••• I••••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Mar 7, 2017, registered Jun 28, 2017 (113 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to S••••••• I••••••••• I•••left May 13, 2016, registered May 13, 2016 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Jan 6, 2006, registered Jul 31, 2006 (206 days) · Other
- B••• O•• S••••••••• C••••••••• to U•• F•••••••• S••••••• I•••left Mar 15, 2004, registered Mar 19, 2004 (4 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address