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••• P•••••• S••••
- O••••• C••••••• L•• former currentsince Jun 1, 2022 · Newport Beach, Ca
- P•••••• I••••••••• A•••••••• L•• unclassifiedAug 7, 2020 to Apr 18, 2022 · Portland, Or
- D••••••• F••••••• L•• asset managerMar 7, 2018 to Jul 31, 2020 · Boston, Ma
- S••••••• P••••••• independent RIAJun 21, 2016 to Sep 13, 2017 · Glastonbury, Ct
- P•••••• I••••••••• A•••••••• L•• to O••••• C••••••• L••left Apr 18, 2022, registered Jun 1, 2022 (44 days) · Other
- D••••••• F••••••• L•• to P•••••• I••••••••• A•••••••• L••left Jul 31, 2020, registered Aug 7, 2020 (7 days) · Other
- S••••••• P••••••• to D••••••• F••••••• L••left Sep 13, 2017, registered Mar 7, 2018 (175 days) · Other
- K••• P•••••• S•••• left P•••••• I••••••••• A•••••••• L•• for O••••• C••••••• L•• (registered 2022-06-01)Apr 18, 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
- Former SEC-registered adviserderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address