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.
M••••••• D••••• F••••• T••••••
- M•••••• BD affiliated currentsince Aug 21, 2018 · Highlands Ranch, Co
- K••••• F•••••••• S••••••••• L•• formerAug 21, 2018 to Dec 31, 2018 · Highlands Ranch, Co
- M•••••• W••••• A••••••• formerMar 2, 2016 to Jul 3, 2018 · Tulsa, Ok
- K••••• F•••••••• S••••••••• L•• to M••••••left Dec 31, 2018, registered Aug 21, 2018 (-132 days) · RIA to RIA · moved with a team
- M•••••• W••••• A••••••• to K••••• F•••••••• S••••••••• L••left Jul 3, 2018, registered Aug 21, 2018 (49 days) · channel change inside one enterprise, not a move
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address