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•••••• M•••••• C••••••
- T••••• P••••••• P••••••• state registered currentsince May 6, 2020 · Marblehead, Ma
- C•••••• F•••••••• unclassifiedSep 6, 2019 to May 12, 2020 · Louisville, Ky
- M•••• W••••• M••••••••• L•• formerApr 22, 2019 to Jul 31, 2019 · Westwood, Ma
- U•• F•••••••• S••••••• I••• wirehouseAug 31, 2015 to May 1, 2019 · New Orleans, La
- P••••• I••••••••• M••••••••• L•• asset managerJun 16, 2014 to Aug 4, 2015 · Boston, Ma
- C•••••• F•••••••• to T••••• P••••••• P•••••••left May 12, 2020, registered May 6, 2020 (-6 days) · Other
- M•••• W••••• M••••••••• L•• to C•••••• F••••••••left Jul 31, 2019, registered Sep 6, 2019 (37 days) · Other
- U•• F•••••••• S••••••• I••• to M•••• W••••• M••••••••• L••left May 1, 2019, registered Apr 22, 2019 (-9 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- P••••• I••••••••• M••••••••• L•• to U•• F•••••••• S••••••• I•••left Aug 4, 2015, registered Aug 31, 2015 (27 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address