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••• G•••••
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Oct 9, 2024 · Monticello, Ia
- F•••• independent RIAMay 15, 2023 to Jul 9, 2024 · Monticello, Ia
- E••••• J•••• national BDNov 26, 2019 to May 12, 2023 · Monticello, Ia
- F•••• to T••••••• I••••••••• M••••••••• I•••left Jul 9, 2024, registered Oct 9, 2024 (92 days) · RIA to affiliated broker-dealer or bank
- E••••• J•••• to F••••left May 12, 2023, registered May 15, 2023 (3 days) · Affiliated broker-dealer or bank to independent RIA
- K••• G••••• left Facet for T••••••• I••••••••• M••••••••• I••• (registered 2024-10-09)Jul 9, 2024 · Advisor changed firm · fact
- K••• G••••• left E••••• J•••• for Facet (registered 2023-05-15)May 12, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address