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••• W•••••• S••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Oct 16, 2018 · Rocjville, Md
- T• A••••••••• I••• formerFeb 27, 2018 to Oct 16, 2018 · Vienna, Va
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Oct 16, 2018 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerMar 28, 2017 to Feb 26, 2018 · Saint Louis, Mo
- P•• W••••• M••••••••• BD affiliatedJun 25, 2013 to Mar 7, 2017 · Birmingham, Al
- E••••• J•••• national BDMay 3, 2012 to May 28, 2013 · Maryland Heights, Mo
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Oct 16, 2018, registered Feb 27, 2018 (-231 days) · corporate re-registration, not a move
- T• A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 16, 2018, registered Oct 16, 2018 (0 days) · Other
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to S•••••••• I••••••••• M•••••••••left Mar 7, 2017, registered Mar 28, 2017 (21 days) · Other
- E••••• J•••• to P•• W••••• M•••••••••left May 28, 2013, registered Jun 25, 2013 (28 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