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••••••• state registered currentsince Jun 11, 2024 · Kansas City, Mo
- A• E••••••••• L••• F••••••••• L•• independent RIAMay 13, 2022 to Apr 30, 2024 · Indianapolis, In
- G•• S••••••••• I••• BD affiliatedMay 6, 2021 to May 12, 2022 · Palm Beach Gardens, Fl
- A• E••••••••• L••• F••••••••• L•• to K••• P•••••••left Apr 30, 2024, registered Jun 11, 2024 (42 days) · RIA to a state-registered adviser
- G•• S••••••••• I••• to A• E••••••••• L••• F••••••••• L••left May 12, 2022, registered May 13, 2022 (1 days) · Affiliated broker-dealer or bank to independent RIA
- D•••• R••• G•••••• left A• E••••••••• L••• F••••••••• L•• for K••• P••••••• (registered 2024-06-11)Apr 30, 2024 · Advisor changed firm · fact
- D•••• R••• G•••••• left G•• S••••••••• I••• for A• E••••••••• L••• F••••••••• L•• (registered 2022-05-13)May 12, 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
- STATE REGISTEREDderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address