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•••••• P••••• D••••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Apr 22, 2016 · Austin, Tx
- P•••• S••••••••• L•• no RAUMMay 15, 2013 to Jun 3, 2014 · Newark, Nj
- N•• A•••••• S•••••••• L•• formerFeb 27, 2009 to Sep 20, 2011 · Austin, Tx
- E•••••••• A•••••••• L•• national BDAug 27, 2004 to Dec 31, 2008 · Woodland Hills, Ca
- P•••• S••••••••• L•• to K••••• A••••••• S•••••••• L••left Jun 3, 2014, registered Apr 22, 2016 (689 days) · Other
- N•• A•••••• S•••••••• L•• to P•••• S••••••••• L••left Sep 20, 2011, registered May 15, 2013 (603 days) · Other
- E•••••••• A•••••••• L•• to N•• A•••••• S•••••••• L••left Dec 31, 2008, registered Feb 27, 2009 (58 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address