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.
J••••• S••••• D•••••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Jul 21, 2020 · Austin, Tx
- W•••••• • R••• formerJul 8, 2016 to Jul 23, 2020 · Santa Clarita, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMar 19, 2014 to Jul 13, 2016 · Woodland Hills, Ca
- T••••••• I••••••••• M••••••••• I••• BD affiliatedDec 7, 2012 to Mar 19, 2014 · Thousand Oaks, Ca
- W•••••• • R••• to K••••• A••••••• S•••••••• L••left Jul 23, 2020, registered Jul 21, 2020 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to W•••••• • R•••left Jul 13, 2016, registered Jul 8, 2016 (-5 days) · Other · moved with a team
- T••••••• I••••••••• M••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Mar 19, 2014, registered Mar 19, 2014 (0 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address