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.
J••••• A••• K•••••••
- K•••••••• W••••• M••••••••• L•• independent RIA currentsince Apr 9, 2020 · Grants Pass, Or
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 6, 2010 to Apr 13, 2020 · Scottsdale, Az
- E••••• J•••• national BDNov 13, 2006 to Oct 4, 2010 · Glendale, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to K•••••••• W••••• M••••••••• L••left Apr 13, 2020, registered Apr 9, 2020 (-4 days) · Wirehouse to independent RIA
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 4, 2010, registered Oct 6, 2010 (2 days) · Affiliated broker-dealer or bank to wirehouse
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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address