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.
F•••••••• P••• S••••••
- L•••••••• P•••••••• L•• state registered currentsince Sep 26, 2022 · Chandler, Az
- K••••••• W••••• P••••••• L•• formerNov 12, 2014 to Jun 29, 2022 · Chandler, Az
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedJul 1, 2014 to Jul 31, 2014 · Sun Lakes, Az
- K••••••• W••••• P••••••• L•• to L•••••••• P•••••••• L••left Jun 29, 2022, registered Sep 26, 2022 (89 days) · RIA to a state-registered adviser
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to K••••••• W••••• P••••••• L••left Jul 31, 2014, registered Nov 12, 2014 (104 days) · Other
- F•••••••• P••• S•••••• left K••••••• W••••• P••••••• L•• for L•••••••• P•••••••• L•• (registered 2022-09-26)Jun 29, 2022 · Advisor changed firm · fact
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address