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•••••• J•••• C••••••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Feb 23, 2018 · Seattle, Wa
- T•••••••• F•••••••• M••••••••• L•• i••••••••• wealthJun 7, 2012 to Nov 14, 2013 · Bloomington, Mn
- C••••• A••••••• L•• formerFeb 28, 2012 to Feb 26, 2018 · Greenwood Village, Co
- P•••••• W••• F•••••••• C••••••••• I•• formerMay 6, 2003 to Feb 28, 2012 · Renton, Wa
- C••••• A••••••• L•• to T•••••••• F•••••••• M••••••••• L••left Feb 26, 2018, registered Jun 7, 2012 (-2090 days) · Other
- T•••••••• F•••••••• M••••••••• L•• to I••••••••• F•••••••• G••••• L••left Nov 14, 2013, registered Feb 23, 2018 (1562 days) · Other
- P•••••• W••• F•••••••• C••••••••• I•• to C••••• A••••••• L••left Feb 28, 2012, registered Feb 28, 2012 (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
- 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