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•••••• H•••• W•••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · San Juan Capistrano, Ca
- A••••••••• P••••••• I••••••••• A••••••• I•• unclassifiedJul 8, 1997 to Apr 2, 2008 · San Juan Capistrano, Ca
- A••••••••• S••••••••• C•••• unclassifiedJul 8, 1997 to Apr 2, 2008 · San Juan Capistrano, Ca
- B•• A•••• M••••••••• I••• independent RIAFeb 5, 1997 to Dec 31, 2002 · San Juan Capistrano, Ca
- A••••••••• P••••••• I••••••••• A••••••• I•• to A••••••••• S••••••••• C••••left Apr 2, 2008, registered Jul 8, 1997 (-3921 days) · Other
- A••••••••• S••••••••• C•••• to C••••• I••••••••• A••••••• L••left Apr 2, 2008, registered Jun 29, 2023 (5566 days) · Other
- B•• A•••• M••••••••• I••• to A••••••••• P••••••• I••••••••• A••••••• I••left Dec 31, 2002, registered Jul 8, 1997 (-2002 days) · Other
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
- 47derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address