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••• S•••••• H•••••
- K••••• F••••••••• L•• independent RIA currentsince Sep 10, 2021 · Moorpark, Ca
- K••••• F••••••••• L•• unclassifiedJan 2, 2018 to Aug 1, 2021 · Long Beach, Ca
- W•••••• I••••••••• S••••••••• formerAug 21, 2017 to Dec 31, 2017 · Woodland Hills, Ca
- F•••••••• W••• G•••• formerApr 3, 2014 to Aug 21, 2017 · Los Angeles, Ca
- K••••• F••••••••• L•• to K••••• F••••••••• L••left Aug 1, 2021, registered Sep 10, 2021 (40 days) · Other · moved with a team
- W•••••• I••••••••• S••••••••• to K••••• F••••••••• L••left Dec 31, 2017, registered Jan 2, 2018 (2 days) · Other
- F•••••••• W••• G•••• to W•••••• I••••••••• S•••••••••left Aug 21, 2017, registered Aug 21, 2017 (0 days) · corporate re-registration, 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
- Independent wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address