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••••
- P••••• A••••••• L•• independent RIA currentsince Nov 15, 2023 · Mill Creek, Wa
- J• W• C••• A•••••••• I••• BD affiliatedApr 24, 2019 to Nov 17, 2021 · Tampa, Fl
- P••• A••••• S••••••••• L•• BD affiliatedOct 15, 2015 to May 13, 2019 · La Jolla, Ca
- E•••••••• A•••••••• L•• national BDJun 24, 2014 to Oct 6, 2015 · San Diego, Ca
- F•••• A••••• A••••••• S•••••••• I••• formerJul 2, 2012 to Jun 11, 2014 · Chesterfield, Mo
- F•••• A••••• S••••••••• I••• formerDec 11, 2009 to Jul 2, 2012 · Ann Arbor, Mi
- J• W• C••• A•••••••• I••• to P••••• A••••••• L••left Nov 17, 2021, registered Nov 15, 2023 (728 days) · RIA to a newly registered adviser
- P••• A••••• S••••••••• L•• to J• W• C••• A•••••••• I•••left May 13, 2019, registered Apr 24, 2019 (-19 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to P••• A••••• S••••••••• L••left Oct 6, 2015, registered Oct 15, 2015 (9 days) · Other
- F•••• A••••• A••••••• S•••••••• I••• to E•••••••• A•••••••• L••left Jun 11, 2014, registered Jun 24, 2014 (13 days) · Other
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 2, 2012, registered Jul 2, 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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address