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•••••• C•••••• N•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Mar 18, 2019 · Chattanooga, Tn
- T•••• S••••• S••••••••• I••• formerJun 3, 2004 to Jul 10, 2006 · San Jose, Ca
- W• G••••••• S••••••••• I••• unclassifiedOct 23, 2003 to Jun 14, 2004 · San Jose, Ca
- T•••• S••••• S••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 10, 2006, registered Mar 18, 2019 (4634 days) · Other
- W• G••••••• S••••••••• I••• to T•••• S••••• S••••••••• I•••left Jun 14, 2004, registered Jun 3, 2004 (-11 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