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••••••• J• O••••
- A••••• F•••••••• P••••••• • I••••••••• M••••••••• L•• state registered currentsince Jan 3, 2024 · Scottsdale, Az
- A••• P•••••• W••••• M••••••••• L•• state registeredJun 3, 2014 to Jul 16, 2019 · Mission Viejo, Ca
- M••••• S•••••• wirehouseMar 6, 2013 to Mar 21, 2014 · Santa Ana, Ca
- A••• P•••••• W••••• M••••••••• L•• to A••••• F•••••••• P••••••• • I••••••••• M••••••••• L••left Jul 16, 2019, registered Jan 3, 2024 (1632 days) · Other
- M••••• S•••••• to A••• P•••••• W••••• M••••••••• L••left Mar 21, 2014, registered Jun 3, 2014 (74 days) · Wirehouse to a state-registered adviser
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address