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.
- W•••• F•••• A••••••• wirehouse currentsince Apr 18, 2017 · Vancouver, Wa
- K•• I••••••••• S••••••• L•• BD affiliatedAug 7, 2012 to Apr 19, 2017 · Vancouver, Wa
- C•••• I••••••••• S••••••• C•••• formerNov 10, 2010 to Aug 9, 2012 · Eagle Point, Or
- E••••• J•••• national BDNov 3, 2008 to Aug 3, 2010 · Gold River, Ca
- K•• I••••••••• S••••••• L•• to W•••• F•••• A•••••••left Apr 19, 2017, registered Apr 18, 2017 (-1 days) · Other
- C•••• I••••••••• S••••••• C•••• to K•• I••••••••• S••••••• L••left Aug 9, 2012, registered Aug 7, 2012 (-2 days) · Other
- E••••• J•••• to C•••• I••••••••• S••••••• C••••left Aug 3, 2010, registered Nov 10, 2010 (99 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address