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••• V•••••• A••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Nov 6, 2019 · Austin, Tx
- U•• F•••••••• S••••••• I••• wirehouseJan 1, 2010 to Sep 27, 2019 · Geneve
- U•• I••••••••• I••• unclassifiedJan 4, 2008 to Jan 1, 2010 · New York, Ny
- U•• F•••••••• S••••••• I••• to K••••• A••••••• S•••••••• L••left Sep 27, 2019, registered Nov 6, 2019 (40 days) · Wirehouse to affiliated broker-dealer or bank
- U•• I••••••••• I••• to U•• F•••••••• S••••••• I•••left Jan 1, 2010, registered Jan 1, 2010 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address