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.
M•••••• J••• K••••
- P••••••• C•••• A•••••••• I••• state registered currentsince Sep 9, 2015 · Mt. Pleasant, Sc
- C•••••••• F•••••••• G•••• A••••••• formerJan 25, 2011 to Sep 23, 2015 · Charleston, Sc
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedSep 4, 2009 to Jan 20, 2011 · Charleston, Sc
- T••••••••• F•••••••• A•••••••• I••• unclassifiedFeb 9, 2009 to Sep 4, 2009 · Charleston, Sc
- C••••• A••••••• L•• formerJan 18, 2008 to Sep 10, 2008 · Greenwood Village, Co
- C•••••••• F•••••••• G•••• A••••••• to P••••••• C•••• A•••••••• I•••left Sep 23, 2015, registered Sep 9, 2015 (-14 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to C•••••••• F•••••••• G•••• A•••••••left Jan 20, 2011, registered Jan 25, 2011 (5 days) · Other
- T••••••••• F•••••••• A•••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Sep 4, 2009, registered Sep 4, 2009 (0 days) · corporate re-registration, not a move
- C••••• A••••••• L•• to T••••••••• F•••••••• A•••••••• I•••left Sep 10, 2008, registered Feb 9, 2009 (152 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
- STATE REGISTEREDderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address