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••• L•••• S•••••••
- O•••• A••••••• S•••••••• L•• BD affiliated currentsince Jun 8, 2020 · Bend, Or
- P•••••••• S••••••••• I••• BD affiliatedNov 5, 2013 to Jun 11, 2020 · Bend, Or
- M•• F•••••••• S•••••••• I••• formerDec 22, 2009 to Oct 21, 2013 · Bend, Or
- P•••••••• S••••••••• I••• to O•••• A••••••• S•••••••• L••left Jun 11, 2020, registered Jun 8, 2020 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•• F•••••••• S•••••••• I••• to P•••••••• S••••••••• I•••left Oct 21, 2013, registered Nov 5, 2013 (15 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address