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.
C••••• J••• M••••••
- K••••• A•••••••• I••• BD affiliated currentsince May 8, 2017 · San J•••, Pr
- S••••••••• A•••••• A•••••••• I••• formerMar 21, 2016 to May 18, 2017 · San J•••, Pr
- U••••••••• W••••• M••••••••• L•• independent RIAAug 10, 2015 to Mar 21, 2016 · San J•••, Pr
- C••••••••• W••••• M••••••••• C•••• otherFeb 19, 2014 to Jul 15, 2015 · San J•••, Pr
- C••••••••• W••••• M••••••••• C•••• otherJul 23, 2013 to Feb 7, 2014 · San J•••, Pr
- S••••••••• A•••••• A•••••••• I••• to K••••• A•••••••• I•••left May 18, 2017, registered May 8, 2017 (-10 days) · Other
- U••••••••• W••••• M••••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Mar 21, 2016, registered Mar 21, 2016 (0 days) · Other
- C••••••••• W••••• M••••••••• C•••• to U••••••••• W••••• M••••••••• L••left Jul 15, 2015, registered Aug 10, 2015 (26 days) · Other · moved with a team
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address