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.
N•••• K•••••
- F•••• T•••• S••••••••• I••• BD affiliated currentsince Oct 15, 2021 · Grand Blanc, Mi
- K•• I••••••••• S••••••• L•• BD affiliatedDec 11, 2014 to Oct 28, 2021 · Columbus, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedJul 6, 2010 to Dec 11, 2014 · Ashtabula, Oh
- K•• I••••••••• S••••••• L•• to F•••• T•••• S••••••••• I•••left Oct 28, 2021, registered Oct 15, 2021 (-13 days) · Affiliated broker-dealer or bank to another
- H••••••••• F•••••••• A••••••• to K•• I••••••••• S••••••• L••left Dec 11, 2014, registered Dec 11, 2014 (0 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address