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••••• G•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · El Segundo, Ca
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 26, 2016 to Nov 4, 2019 · Austin, Tx
- N•• A•••••• S•••••••• L•• formerOct 24, 2014 to Sep 22, 2016 · Brea, Ca
- K••••• P•••••• W••••• S•••••••• L•• BD affiliatedMar 13, 2013 to Nov 10, 2014 · Austin, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 27, 2013 · Brea, Ca
- M••••• S•••••• • C•• L•• unclassifiedAug 12, 2008 to Jun 1, 2009 · Brea, Ca
- K••••• A••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left Nov 4, 2019, registered Jun 29, 2023 (1333 days) · Affiliated broker-dealer or bank to another
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 26, 2016 (-149 days) · corporate re-registration, not a move
- K••••• P•••••• W••••• S•••••••• L•• to N•• A•••••• S•••••••• L••left Nov 10, 2014, registered Oct 24, 2014 (-17 days) · Other
- M••••• S•••••• to K••••• P•••••• W••••• S•••••••• L••left Feb 27, 2013, registered Mar 13, 2013 (14 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address