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••••••••• K•••••••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Mar 1, 2023 · Kansas City, Mo
- G••••••• A•••••••• L•• independent RIANov 5, 2021 to Oct 4, 2022 · Phoenix, Az
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAJun 17, 2021 to Aug 23, 2021 · Phoenix, Az
- G••••••• A•••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Oct 4, 2022, registered Mar 1, 2023 (148 days) · Other
- M••••• O• O•••• I••••••• S•••••••• I••• to G••••••• A•••••••• L••left Aug 23, 2021, registered Nov 5, 2021 (74 days) · Other
- K••••••••• K••••••• left G••••••• A•••••••• L•• for N••••••••• M••••• I••••••••• S••••••••• (registered 2023-03-01)Oct 4, 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
- No RAUM reportedderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address