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•••••• M•••••• K••••••••
- D•••••••• A••••••• S•••••••• L•• BD affiliated currentsince Dec 19, 2023 · South Jordan, Ut
- C•••• C•••••• S••••••••• L••• formerJan 17, 2017 to Mar 10, 2020 · Newport Beach, Ca
- B• R•••• W••••• A•••••••• I••• BD affiliatedMay 9, 2012 to Jan 17, 2017 · Irvine, Ca
- M••••• S•••••• wirehouseApr 27, 2011 to Dec 12, 2011 · Santa Ana, Ca
- C•••• C•••••• S••••••••• L••• to D•••••••• A••••••• S•••••••• L••left Mar 10, 2020, registered Dec 19, 2023 (1379 days) · RIA to affiliated broker-dealer or bank · moved with a team
- B• R•••• W••••• A•••••••• I••• to C•••• C•••••• S••••••••• L•••left Jan 17, 2017, registered Jan 17, 2017 (0 days) · Other
- M••••• S•••••• to B• R•••• W••••• A•••••••• I•••left Dec 12, 2011, registered May 9, 2012 (149 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address