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.
S••• K•••••• H•••••••
- M••••• S•••••• wirehouse currentsince Sep 30, 2015 · Loveland, Co
- S••••••• I••••••••• I••• formerMar 23, 2015 to Jul 1, 2015 · Southfield, Mi
- C••••• C••••••• L•• formerMar 29, 2013 to Nov 14, 2013 · Denver, Co
- S••••••• I••••••••• I••• to M••••• S••••••left Jul 1, 2015, registered Sep 30, 2015 (91 days) · Other
- C••••• C••••••• L•• to S••••••• I••••••••• I•••left Nov 14, 2013, registered Mar 23, 2015 (494 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address