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•• E••••••
- V•••••• A•••••••• I••• BD affiliated currentsince Sep 27, 2022 · Fremont, In
- K•• S••••••••• L•• unclassifiedOct 13, 2016 to Sep 27, 2022 · Fremont, In
- M• H••••••• S••••••••• I••• BD affiliatedOct 1, 2008 to Apr 4, 2016 · Portland, Or
- E•• F•••••••• A••••••• independent RIADec 5, 2007 to Jan 23, 2008 · Montpelier, Vt
- K•• S••••••••• L•• to V•••••• A•••••••• I•••left Sep 27, 2022, registered Sep 27, 2022 (0 days) · Other
- M• H••••••• S••••••••• I••• to K•• S••••••••• L••left Apr 4, 2016, registered Oct 13, 2016 (192 days) · Other
- E•• F•••••••• A••••••• to M• H••••••• S••••••••• I•••left Jan 23, 2008, registered Oct 1, 2008 (252 days) · Other
- K•••••• R•• E•••••• left K•• S••••••••• L•• for V•••••• A•••••••• I••• (registered 2022-09-27)Sep 27, 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address