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••• T••••• B•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 3, 2023 · Kennewick, Wa
- R•• C•••••• M••••••• L•• national BDOct 31, 2019 to Nov 24, 2023 · Richland, Wa
- P•••••• C•••• P•••••••• I••• unclassifiedMay 5, 2014 to Dec 31, 2014 · Kennewick, Wa
- C•••••••• F••••••••• I••• BD affiliatedNov 1, 2012 to Oct 31, 2019 · Anaheim, Ca
- H• B•••• I••• formerApr 13, 2010 to Nov 26, 2012 · Kennewick, Wa
- W•••••• • R••• formerSep 10, 2008 to Apr 1, 2010 · Kennewick, Wa
- R•• C•••••• M••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Nov 24, 2023, registered Nov 3, 2023 (-21 days) · Affiliated broker-dealer or bank to another · moved with a team
- C•••••••• F••••••••• I••• to P•••••• C•••• P•••••••• I•••left Oct 31, 2019, registered May 5, 2014 (-2005 days) · Other · moved with a team
- P•••••• C•••• P•••••••• I••• to R•• C•••••• M••••••• L••left Dec 31, 2014, registered Oct 31, 2019 (1765 days) · Other
- H• B•••• I••• to C•••••••• F••••••••• I•••left Nov 26, 2012, registered Nov 1, 2012 (-25 days) · Other
- W•••••• • R••• to H• B•••• I•••left Apr 1, 2010, registered Apr 13, 2010 (12 days) · Other
- K••• T••••• B••••••• left R•• C•••••• M••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-11-03)Nov 24, 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address