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.
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- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Sep 14, 2020 · Castaic, Ca
- K••••• P•••••• W••••• S•••••••• L•• BD affiliatedNov 6, 2012 to Sep 15, 2020 · Woodland Hills, Ca
- W•••• F•••• A••••••• wirehouseAug 6, 2007 to Sep 19, 2012 · Woodland Hills, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 19, 2005 to Aug 14, 2007 · Castaic, Ca
- K••••• P•••••• W••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 15, 2020, registered Sep 14, 2020 (-1 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to K••••• P•••••• W••••• S•••••••• L••left Sep 19, 2012, registered Nov 6, 2012 (48 days) · Other
- M•• I•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Aug 14, 2007, registered Aug 6, 2007 (-8 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