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••••••
- C••••••• P••••••• independent RIA currentsince Mar 27, 2012 · Overland Park, Ks
- S•••••••• A••••••• L•• national BDDec 19, 2007 to Mar 21, 2012 · Greenwich, Ct
- R•• C•••••• M••••••• L•• national BDSep 29, 2007 to Oct 26, 2007 · Westport, Ct
- S•••••••• A••••••• L•• to C••••••• P•••••••left Mar 21, 2012, registered Mar 27, 2012 (6 days) · Other
- R•• C•••••• M••••••• L•• to S•••••••• A••••••• L••left Oct 26, 2007, registered Dec 19, 2007 (54 days) · Affiliated broker-dealer or bank to another
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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address