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.
W•••••• C••••••••• K•••
- T•• M••••• G••••• L•• independent RIA currentsince Jan 18, 2019 · Chicago, Il
- A••••• A•• P••••••• S••••••• BD affiliatedMar 18, 2016 to Jun 27, 2018 · Melville, Ny
- H••• S••••••••• •••• I••• BD affiliatedJun 19, 2009 to Dec 11, 2009 · Port Washington, Ny
- A••••• A•• P••••••• S••••••• to T•• M••••• G••••• L••left Jun 27, 2018, registered Jan 18, 2019 (205 days) · Affiliated broker-dealer or bank to independent RIA
- H••• S••••••••• •••• I••• to A••••• A•• P••••••• S•••••••left Dec 11, 2009, registered Mar 18, 2016 (2289 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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address