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.
G•••••• K•••••
- V••••• A•••• M••••••••• independent RIA currentsince Nov 17, 2017 · Durham, Nc
- E•••••••• M••• L•• formerAug 10, 2018 to Nov 2, 2018 · Orangevale, Ca
- E•••••••• M••• L•• formerJul 13, 2017 to Nov 16, 2017 · Orangevale, Ca
- P••••••••• S••••••••• C••••••••• independent RIADec 20, 2016 to May 8, 2017 · Carpinteria, Ca
- E•••••••• M••• L•• to no registered destinationleft Nov 2, 2018 · Departure, no registered destination
- E•••••••• M••• L•• to V••••• A•••• M•••••••••left Nov 16, 2017, registered Nov 17, 2017 (1 days) · Other · moved with a team
- P••••••••• S••••••••• C••••••••• to E•••••••• M••• L••left May 8, 2017, registered Jul 13, 2017 (66 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
- Independent wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address