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.
D•••• K• S•••
- C•••••• S••••• • C••• I••• national BD currentsince Jan 26, 2022 · Brea, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 28, 2018 to Sep 7, 2023 · Long Beach, Ca
- T• A••••••••• I••• formerJun 28, 2018 to Oct 14, 2022 · Long Beach, Ca
- K•• C•••••• M••••••••• L•• formerJun 23, 2014 to Jul 3, 2018 · Los Angeles, Ca
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Jun 28, 2018 (-1569 days) · corporate re-registration, not a move
- K•• C•••••• M••••••••• L•• to T• A••••••••• I•••left Jul 3, 2018, registered Jun 28, 2018 (-5 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address