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•••• E••••• R•••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Aug 29, 2025 · Quechee, Vt
- A••••• P•••••• W•••••• I••• independent RIAJan 3, 2019 to Jun 13, 2025 · Pennington, Nj
- I•••••• P•••••• A•••••••• L•• formerJul 1, 2014 to Dec 31, 2018 · Pennington, Nj
- P•••••• C•••••• F•••••• unclassifiedAug 20, 2012 to Dec 12, 2014 · Pennington, Nj
- L•• F•••••••• L•• BD affiliatedAug 2, 2011 to Oct 28, 2015 · Pennington, Nj
- U•• F•••••••• S••••••• I••• wirehouseJun 4, 2009 to Mar 12, 2010 · Philadelphia, Pa
- A••••• P•••••• W•••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jun 13, 2025, registered Aug 29, 2025 (77 days) · RIA to affiliated broker-dealer or bank
- I•••••• P•••••• A•••••••• L•• to A••••• P•••••• W•••••• I•••left Dec 31, 2018, registered Jan 3, 2019 (3 days) · RIA to RIA · moved with a team
- L•• F•••••••• L•• to P•••••• C•••••• F••••••left Oct 28, 2015, registered Aug 20, 2012 (-1164 days) · Other · moved with a team
- P•••••• C•••••• F•••••• to I•••••• P•••••• A•••••••• L••left Dec 12, 2014, registered Jul 1, 2014 (-164 days) · Other
- U•• F•••••••• S••••••• I••• to L•• F•••••••• L••left Mar 12, 2010, registered Aug 2, 2011 (508 days) · Other
- K•••• E••••• R••• left A••••• P•••••• W•••••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-08-29)Jun 13, 2025 · 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address