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•••• J•••••• S••••
- K•••• A••••••• R•••••• I••••••••• M••••••••• L•• mixed wealth currentsince May 31, 2022 · Newport Beach, Ca
- S•••••• W••••• P•••••••• L•• BD affiliatedAug 20, 2019 to May 20, 2022 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 11, 2018 to Aug 20, 2019 · San Francisco, Ca
- S•••••• W••••• P•••••••• L•• to K•••• A••••••• R•••••• I••••••••• M••••••••• L••left May 20, 2022, registered May 31, 2022 (11 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• W••••• P•••••••• L••left Aug 20, 2019, registered Aug 20, 2019 (0 days) · Wirehouse to independent RIA
- T•••• J•••••• S•••• left S•••••• W••••• P•••••••• L•• for K•••• A••••••• R•••••• I••••••••• M••••••••• L•• (registered 2022-05-31)May 20, 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address