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.
M•••••• J•• K•••••
- M•••• I••••••••• A••••••• S••••••• I•• mixed wealth currentsince May 4, 2023 · Reston, Va
- A•••• W••••• G••••• L•• independent RIASep 10, 2019 to Aug 27, 2021 · Colorado Springs, Co
- A••••• A•• P••••••• S••••••• BD affiliatedSep 23, 2017 to Aug 12, 2019 · Denver, Co
- A•••• W••••• G••••• L•• to M•••• I••••••••• A••••••• S••••••• I••left Aug 27, 2021, registered May 4, 2023 (615 days) · RIA to RIA
- A••••• A•• P••••••• S••••••• to A•••• W••••• G••••• L••left Aug 12, 2019, registered Sep 10, 2019 (29 days) · Affiliated broker-dealer or bank to independent RIA
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address