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.
K••• A••• G••••••
- A••••••• W••••• M••••••••• I••• independent RIA currentsince Mar 18, 2021 · Alpharetta, Ga
- W•••• F•••• A••••••• wirehouseJun 12, 2015 to Jan 14, 2020 · Tacoma, Wa
- E••••• J•••• national BDDec 6, 2013 to Jan 7, 2014 · Gig Harbor, Wa
- W•••• F•••• A••••••• wirehouseMar 29, 2010 to Apr 5, 2013 · Tacoma, Wa
- W•••• F•••• A••••••• to A••••••• W••••• M••••••••• I•••left Jan 14, 2020, registered Mar 18, 2021 (429 days) · Wirehouse to independent RIA
- E••••• J•••• to W•••• F•••• A•••••••left Jan 7, 2014, registered Jun 12, 2015 (521 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to E••••• J••••left Apr 5, 2013, registered Dec 6, 2013 (245 days) · Wirehouse to affiliated broker-dealer or bank
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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address