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.
R••• D•••• L•••••
- F•••••••• F•••••••• L•• state registered currentsince Jun 9, 2020 · Gilbert, Az
- K•••• M••••••••• formerAug 21, 2015 to May 29, 2020 · Scottsdale, Az
- B••••••••• C•••••• L•• independent RIAAug 21, 2014 to Aug 5, 2015 · Scottsdale, Az
- K•••• M••••••••• formerFeb 25, 2014 to May 8, 2014 · Ponte Vedra Beach, Fl
- M•••••• A••••• S••••••••• L•• BD affiliatedApr 2, 2013 to Feb 5, 2014 · San Diego, Ca
- K•••• M••••••••• to F•••••••• F•••••••• L••left May 29, 2020, registered Jun 9, 2020 (11 days) · Affiliated broker-dealer or bank to a state-registered adviser
- B••••••••• C•••••• L•• to K•••• M•••••••••left Aug 5, 2015, registered Aug 21, 2015 (16 days) · Other
- K•••• M••••••••• to B••••••••• C•••••• L••left May 8, 2014, registered Aug 21, 2014 (105 days) · Other
- M•••••• A••••• S••••••••• L•• to K•••• M•••••••••left Feb 5, 2014, registered Feb 25, 2014 (20 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
- STATE REGISTEREDderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address