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••• S•••••••••
- E••••• J•••• national BD currentsince Apr 27, 2018 · Santa Cruz, Ca
- W•••••• • R••• formerJun 7, 2013 to May 3, 2018 · Seattle, Wa
- M••••• S•••••• wirehouseSep 2, 2011 to Jun 28, 2013 · Bellevue, Wa
- E••••• J•••• national BDFeb 9, 2007 to Sep 6, 2011 · Redmond, Wa
- W•••••• • R••• to E••••• J••••left May 3, 2018, registered Apr 27, 2018 (-6 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to W•••••• • R•••left Jun 28, 2013, registered Jun 7, 2013 (-21 days) · Other
- E••••• J•••• to M••••• S••••••left Sep 6, 2011, registered Sep 2, 2011 (-4 days) · Affiliated broker-dealer or bank 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
- 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