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•••••• B•••• W••••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Oct 2, 2023 · Plymouth, Mn
- K•• W••••• A••••••• formerJan 14, 2014 to Oct 3, 2023 · Los Angeles, Ca
- K••••••• C•••••• S••••••••• formerSep 16, 2004 to Dec 31, 2014 · Los Angeles, Ca
- K•• W••••• A••••••• to W••••• E••••••••• A••••••• S•••••••• L••left Oct 3, 2023, registered Oct 2, 2023 (-1 days) · RIA to RIA · moved with a team
- K••••••• C•••••• S••••••••• to K•• W••••• A•••••••left Dec 31, 2014, registered Jan 14, 2014 (-351 days) · Other
- K•••••• B•••• W•••••• left K•• W••••• A••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-10-02)Oct 3, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address