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••••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jan 1, 2025 · Plymouth, Mn
- P••••••• S•••••••• G••••• L•• formerNov 20, 2017 to Sep 10, 2019 · Tampa, Fl
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 29, 2008 to Jan 15, 2016 · Naples, Fl
- T• A••••••••• I••• formerJul 29, 2008 to Jan 15, 2016 · Naples, Fl
- P••••••• S•••••••• G••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Sep 10, 2019, registered Jan 1, 2025 (1940 days) · RIA to affiliated broker-dealer or bank · moved with a team
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 15, 2016, registered Jul 29, 2008 (-2726 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jan 15, 2016, registered Jul 29, 2008 (-2726 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address