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.
S•••••• B•••• L•••
- H•••••• T••••••• • K•••• L•• independent RIA currentsince Jan 7, 2025 · Tampa, Fl
- M•• F•••••••• S•••••••• I••• formerDec 4, 2009 to Apr 5, 2010 · Foster City, Ca
- N•• E•••••• S••••••••• C••••••••• formerJul 8, 1997 to Dec 11, 2014 · Foster City, Ca
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Dec 11, 2014, registered Dec 4, 2009 (-1833 days) · Other
- M•• F•••••••• S•••••••• I••• to H•••••• T••••••• • K•••• L••left Apr 5, 2010, registered Jan 7, 2025 (5391 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
- Independent wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address