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••••• D••••••
- M•••••• BD affiliated currentsince Mar 17, 2015 · Florham Park, Nj
- F••••••••• F••••••••• L•• formerMay 21, 2015 to Mar 22, 2017 · Overland Park, Ks
- M•••••• W••••• A••••••• formerOct 30, 2014 to Jun 5, 2017 · Madison, Nj
- M•••••• W••••• A••••••• formerOct 29, 2014 to Jun 5, 2017 · Madison, Nj
- M•••••• W••••• A••••••• formerSep 2, 2014 to Jul 3, 2018 · Overland Park, Ks
- F••••••••• F••••••••• L•• formerJun 23, 2014 to Jan 21, 2016 · Leawood, Ks
- M••••• S•••••• wirehouseNov 30, 2012 to Jun 24, 2014 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseJul 7, 2008 to Jul 20, 2012 · Weehawken, Nj
- M•••••• W••••• A••••••• to M•••••• W••••• A•••••••left Jul 3, 2018, registered Oct 29, 2014 (-1343 days) · channel change inside one enterprise, not a move
- M•••••• W••••• A••••••• to M•••••• W••••• A•••••••left Jun 5, 2017, registered Oct 30, 2014 (-949 days) · channel change inside one enterprise, not a move
- M•••••• W••••• A••••••• to M••••••left Jun 5, 2017, registered Mar 17, 2015 (-811 days) · Other
- F••••••••• F••••••••• L•• to no registered destinationleft Mar 22, 2017 · Departure, no registered destination
- F••••••••• F••••••••• L•• to M•••••• W••••• A•••••••left Jan 21, 2016, registered Sep 2, 2014 (-506 days) · channel change inside one enterprise, not a move
- M••••• S•••••• to F••••••••• F••••••••• L••left Jun 24, 2014, registered Jun 23, 2014 (-1 days) · Other
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Jul 20, 2012, registered Nov 30, 2012 (133 days) · Wirehouse to wirehouse
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address