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•••••• A•••••• B•••••••••
- K•••••••• C•••••• P••••••• T••••• L•• independent RIA currentsince Jan 5, 2018 · Frisco, Tx
- K•••••••• C•••••• P••••••• T••••• L•• independent RIANov 18, 2015 to Dec 31, 2017 · Frisco, Tx
- A••••••• P••••••• A•••••••• L•• formerMay 23, 2014 to Sep 21, 2015 · La Quinta, Ca
- D•• I••••••••• M••••••••• independent RIAAug 6, 2012 to Feb 12, 2014 · San Diego, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 17, 2012 · San Diego, Ca
- M••••• S•••••• • C•• L•• unclassifiedOct 26, 2007 to Jun 1, 2009 · San Diego, Ca
- A••••••• P••••••• A•••••••• L•• to K•••••••• C•••••• P••••••• T••••• L••left Sep 21, 2015, registered Nov 18, 2015 (58 days) · Other
- D•• I••••••••• M••••••••• to A••••••• P••••••• A•••••••• L••left Feb 12, 2014, registered May 23, 2014 (100 days) · Other
- M••••• S•••••• to D•• I••••••••• M•••••••••left Aug 17, 2012, registered Aug 6, 2012 (-11 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address