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.
J••• K•••••• S••••••
- W•••• F•••• A••••••• wirehouse currentsince Jun 23, 2023 · Beverly Hills, Ca
- U••• B•••••• I••••••••• I••• formerSep 22, 2017 to Jun 26, 2023 · Santa Monica, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 12, 2017 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerMay 31, 2012 to Oct 1, 2012 · New York, Ny
- U••• F•••••••• P••••••• S••••••• formerOct 2, 2007 to Oct 25, 2011 · Phoenix, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 22, 2006 to Jul 17, 2007 · Phoenix, Az
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Jun 26, 2023, registered Jun 23, 2023 (-3 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to U••• B•••••• I••••••••• I•••left Oct 12, 2017, registered Sep 22, 2017 (-20 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- U••• F•••••••• P••••••• S••••••• to C•••• I••••••••• S••••••• C••••left Oct 25, 2011, registered May 31, 2012 (219 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• F•••••••• P••••••• S•••••••left Jul 17, 2007, registered Oct 2, 2007 (77 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J••• K•••••• S•••••• left U••• B•••••• I••••••••• I••• for W•••• F•••• A••••••• (registered 2023-06-23)Jun 26, 2023 · 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address