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•••• K••••••••
- M••••• S•••••• wirehouse currentsince Jul 1, 2026 · Tempe, Az
- S••••• W••••• A•••••••• I••• no RAUMJan 17, 2014 to Apr 2, 2020 · Phoenix, Az
- C•••••• S••••• • C••• I••• national BDDec 2, 2010 to Jan 17, 2014 · Phoenix, Az
- S••••• W••••• A•••••••• I••• to M••••• S••••••left Apr 2, 2020, registered Jul 1, 2026 (2281 days) · Other
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left Jan 17, 2014, registered Jan 17, 2014 (0 days) · channel change inside one enterprise, 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address