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•••• W•• C••••
- K••••• A•••••••• I••• BD affiliated currentsince Jan 26, 2022 · Lake Oswego, Or
- E••••• J•••• national BDApr 24, 2017 to Oct 29, 2021 · Canby, Or
- P•••••••• S••••••••• I••• BD affiliatedNov 4, 2014 to Dec 31, 2016 · Lake Oswego, Or
- E•••••••• A•••••••• L•• national BDMay 12, 2014 to Oct 14, 2014 · Cedar Falls, Ia
- E••••• J•••• to K••••• A•••••••• I•••left Oct 29, 2021, registered Jan 26, 2022 (89 days) · Affiliated broker-dealer or bank to another
- P•••••••• S••••••••• I••• to E••••• J••••left Dec 31, 2016, registered Apr 24, 2017 (114 days) · Other
- E•••••••• A•••••••• L•• to P•••••••• S••••••••• I•••left Oct 14, 2014, registered Nov 4, 2014 (21 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