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••• A••• W•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Sep 24, 2020 · Leawood, Ks
- S•••••• N••••••• • C••••••• I••••••••• national BDDec 4, 2015 to Sep 28, 2020 · St. Louis, Mo
- B••••••• C•••••• I••• formerMar 13, 2009 to Dec 4, 2015 · New York, Ny
- L••••• B••••••• I••• unclassifiedAug 9, 2007 to Oct 15, 2008 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 27, 2006 to Aug 8, 2007 · New York, Ny
- M•••••• L•••• I••••••••• M••••••• L• unclassifiedFeb 16, 2005 to Sep 29, 2006 · Plainsboro, Nj
- S•••••• N••••••• • C••••••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Sep 28, 2020, registered Sep 24, 2020 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- B••••••• C•••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 4, 2015, registered Dec 4, 2015 (0 days) · corporate re-registration, not a move
- L••••• B••••••• I••• to B••••••• C•••••• I•••left Oct 15, 2008, registered Mar 13, 2009 (149 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L••••• B••••••• I•••left Aug 8, 2007, registered Aug 9, 2007 (1 days) · Other
- M•••••• L•••• I••••••••• M••••••• L• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 29, 2006, registered Sep 27, 2006 (-2 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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address