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•••••• P•••••
- P•••••••• A••••••• national BD currentsince Sep 15, 2022 · Sacramento, Ca
- P•••• S••••••••• L•• no RAUMMar 27, 2015 to Oct 22, 2020 · San Jose, Ca
- P•••••••• A••••••• national BDApr 1, 2014 to Aug 6, 2014 · Sacramento, Ca
- P•••••••• A••••••• national BDSep 14, 2011 to Apr 9, 2012 · Sacramento, Ca
- E••••• J•••• national BDMar 21, 2007 to Sep 22, 2009 · Sacramento, Ca
- P•••• S••••••••• L•• to P•••••••• A•••••••left Oct 22, 2020, registered Sep 15, 2022 (693 days) · Affiliated broker-dealer or bank to another
- P•••••••• A••••••• to P•••• S••••••••• L••left Aug 6, 2014, registered Mar 27, 2015 (233 days) · Other
- E••••• J•••• to P•••••••• A•••••••left Sep 22, 2009, registered Sep 14, 2011 (722 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address