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.
B••••••• K• P•••
- H••••• • C••• L•• other currentsince Jul 23, 2021 · West Conshohocken, Pa
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Sep 24, 2012 · El Segundo, Ca
- W•••• F•••• I••••••••• L•• unclassifiedNov 9, 2010 to Jan 3, 2011 · Los Angeles, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJul 6, 2006 to Mar 19, 2010 · El Segundo, Ca
- W•••• F•••• I••••••••• L•• unclassifiedApr 11, 2005 to Apr 4, 2006 · City Of Industry, Ca
- W•••• F•••• A••••••• to H••••• • C••• L••left Sep 24, 2012, registered Jul 23, 2021 (3224 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to W•••• F•••• I••••••••• L••left Mar 19, 2010, registered Nov 9, 2010 (235 days) · Other
- W•••• F•••• I••••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Apr 4, 2006, registered Jul 6, 2006 (93 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
- Other adviserderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address