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.
M•••• K••••• P••••••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 4, 2022 · Torrance, Ca
- F•• S••••••••• C••••••••• formerMar 9, 2011 to Oct 10, 2022 · Torrance, Ca
- T•• A••••••• G•••• formerMar 2, 2011 to Dec 31, 2022 · Diamond Bar, Ca
- T•• A••••••• G•••• to F•• S••••••••• C•••••••••left Dec 31, 2022, registered Mar 9, 2011 (-4315 days) · Other · moved with a team
- F•• S••••••••• C••••••••• to L•• F•••••••• L••left Oct 10, 2022, registered Oct 4, 2022 (-6 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M•••• K••••• P•••••••• left T•• A••••••• G•••• for F•• S••••••••• C••••••••• (registered 2011-03-09)Dec 31, 2022 · Advisor changed firm · fact
- M•••• K••••• P•••••••• left F•• S••••••••• C••••••••• for L•• F•••••••• L•• (registered 2022-10-04)Oct 10, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address