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.
T••••• K•••• S••••
- J• W• C••• A•••••••• I••• BD affiliated currentsince Mar 28, 2018 · Tampa, Fl
- I••••• F•••••••• C••••••••• formerMar 11, 2016 to Mar 19, 2018 · Appleton, Wi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 25, 2015 to Feb 3, 2016 · Clearwater, Fl
- I••••• F•••••••• C••••••••• to J• W• C••• A•••••••• I•••left Mar 19, 2018, registered Mar 28, 2018 (9 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••• F•••••••• C•••••••••left Feb 3, 2016, registered Mar 11, 2016 (37 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address