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•••••• R••••• S••••••••
- V•••••• A•••••••• I••• BD affiliated currentsince Mar 28, 2022 · Charlotte, Nc
- K••••• A••••••• S•••••••• L•• BD affiliatedMar 23, 2017 to Mar 25, 2022 · Charlotte, Nc
- I•• R•••••• A••••••• I•• formerDec 31, 2001 to Feb 22, 2017 · Charlotte, Nc
- K••••• A••••••• S•••••••• L•• to V•••••• A•••••••• I•••left Mar 25, 2022, registered Mar 28, 2022 (3 days) · Affiliated broker-dealer or bank to another
- I•• R•••••• A••••••• I•• to K••••• A••••••• S•••••••• L••left Feb 22, 2017, registered Mar 23, 2017 (29 days) · Other
- K•••••• R••••• S•••••••• left K••••• A••••••• S•••••••• L•• for V•••••• A•••••••• I••• (registered 2022-03-28)Mar 25, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address