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.
M••••• K•••••••••
- W•••• F•••• A••••••• wirehouse currentsince Dec 3, 2024 · Beverly Hills, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Dec 23, 2024 · Boston, Ma
- S•••••••• A••••••• L•• national BDJul 27, 2011 to Jul 13, 2018 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jul 8, 2011 · Beverly Hills, Ca
- U•• F•••••••• S••••••• I••• wirehouseJan 29, 2007 to Oct 6, 2009 · Century City, Ca
- T• A••••••••• I••• formerApr 27, 2006 to Dec 4, 2006 · Beverly Hills, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• to W•••• F•••• A•••••••left Dec 23, 2024, registered Dec 3, 2024 (-20 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••left Jul 8, 2011, registered Jul 27, 2011 (19 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 6, 2009, registered Oct 23, 2009 (17 days) · Wirehouse to wirehouse
- T• A••••••••• I••• to U•• F•••••••• S••••••• I•••left Dec 4, 2006, registered Jan 29, 2007 (56 days) · Other
- M••••• K••••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for W•••• F•••• A••••••• (registered 2024-12-03)Dec 23, 2024 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address