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.
N•••• K••••••••• S•• K•
- L•• F•••••••• L•• BD affiliated currentsince Dec 18, 2020 · San Mateo, Ca
- T••••••• I••••••••• M••••••••• I••• BD affiliatedOct 8, 2018 to Dec 22, 2020 · Ashland, Or
- S••••••• F•••••••• S•••••••• I••• formerApr 12, 2013 to Aug 29, 2018 · San Ramon, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMay 9, 2012 to Mar 20, 2013 · Calabasas, Ca
- S••••••• F•••••••• S•••••••• I••• formerJan 27, 2012 to Feb 9, 2012 · San Mateo, Ca
- T••••••• I••••••••• M••••••••• I••• to L•• F•••••••• L••left Dec 22, 2020, registered Dec 18, 2020 (-4 days) · Affiliated broker-dealer or bank to another
- S••••••• F•••••••• S•••••••• I••• to T••••••• I••••••••• M••••••••• I•••left Aug 29, 2018, registered Oct 8, 2018 (40 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Mar 20, 2013, registered Apr 12, 2013 (23 days) · Other
- S••••••• F•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Feb 9, 2012, registered May 9, 2012 (90 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address