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•••••• H••••
- C••• P•••••• W••••• A•••••••• I••• BD affiliated currentsince Mar 8, 2022 · Newport Beach, Ca
- R•• S••••••••• I••• BD affiliatedOct 23, 2014 to Oct 24, 2014 · Irvine, Ca
- R•• R•••••••• L•• BD affiliatedOct 23, 2014 to Apr 7, 2022 · Irvine, Ca
- R•• R•••••••• L•• to C••• P•••••• W••••• A•••••••• I•••left Apr 7, 2022, registered Mar 8, 2022 (-30 days) · Affiliated broker-dealer or bank to another
- R•• S••••••••• I••• to R•• R•••••••• L••left Oct 24, 2014, registered Oct 23, 2014 (-1 days) · Other
- K•••• M•••••• H•••• left R•• R•••••••• L•• for C••• P•••••• W••••• A•••••••• I••• (registered 2022-03-08)Apr 7, 2022 · Advisor changed firm · fact
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address