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.
C•••••••• A•••• K••••••
- K•••••• • C•• state registered currentsince Nov 19, 2015 · Sandia Park, Nm
- I••••• F•••••••• C••••••••• formerJun 4, 2013 to Oct 16, 2015 · Victor, Mt
- D••• D••••••• • C•• independent RIAJul 5, 2006 to Apr 11, 2013 · Hamilton, Mt
- S••••••• F•••••••• S•••••••• I••• formerApr 6, 2005 to Feb 21, 2006 · St Louis, Mo
- I••••• F•••••••• C••••••••• to K•••••• • C••left Oct 16, 2015, registered Nov 19, 2015 (34 days) · Other
- D••• D••••••• • C•• to I••••• F•••••••• C•••••••••left Apr 11, 2013, registered Jun 4, 2013 (54 days) · Other
- S••••••• F•••••••• S•••••••• I••• to D••• D••••••• • C••left Feb 21, 2006, registered Jul 5, 2006 (134 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
- STATE REGISTEREDderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address