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.
D•••••• P•••••• M••••
- P••••••• R••••••••• A••••••• institutional currentsince Sep 3, 2021 · Mclean, Va
- K••••• A••••••• S•••••••• L•• BD affiliatedMay 5, 2016 to Aug 31, 2021 · Vienna, Va
- N•• A•••••• S•••••••• L•• formerSep 10, 2014 to Sep 22, 2016 · Falls Church, Va
- F•••••••• T••••••• I••• formerJan 25, 2012 to Sep 10, 2014 · San Rafael, Ca
- K••••• A•••••••• I••• BD affiliatedMay 28, 2009 to Jan 25, 2012 · Washington, Dc
- L•• F•••••••• L•• BD affiliatedMay 22, 2008 to May 26, 2009 · Vienna, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 11, 2006 to May 30, 2008 · Washington, Dc
- K••••• A••••••• S•••••••• L•• to P••••••• R••••••••• A•••••••left Aug 31, 2021, registered Sep 3, 2021 (3 days) · Affiliated broker-dealer or bank to a newly registered adviser
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered May 5, 2016 (-140 days) · corporate re-registration, not a move
- F•••••••• T••••••• I••• to N•• A•••••• S•••••••• L••left Sep 10, 2014, registered Sep 10, 2014 (0 days) · Other
- K••••• A•••••••• I••• to F•••••••• T••••••• I•••left Jan 25, 2012, registered Jan 25, 2012 (0 days) · Other
- L•• F•••••••• L•• to K••••• A•••••••• I•••left May 26, 2009, registered May 28, 2009 (2 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left May 30, 2008, registered May 22, 2008 (-8 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
- Institutional managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address