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.
D•••• L•• K•••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Apr 17, 2021 · Virginia Beach, Va
- O•••• F•• I••• formerAug 20, 2018 to Apr 16, 2021 · Virginia Beach, Va
- H•••••• T••••••• • K•••• L•• independent RIAJun 29, 2013 to Feb 16, 2018 · Virginia Beach, Va
- M•• F•••••••• S•••••••• I••• formerApr 28, 2008 to Jan 23, 2013 · Virginia Beach, Va
- P••• A••••• S••••••••• L•• BD affiliatedDec 18, 2003 to Dec 31, 2007 · Virginia Beach, Va
- D•••• • C• A•••••••• I••• unclassifiedJul 7, 1997 to Dec 31, 2003 · Virginia Beach, Va
- O•••• F•• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 16, 2021, registered Apr 17, 2021 (1 days) · corporate re-registration, not a move
- H•••••• T••••••• • K•••• L•• to O•••• F•• I•••left Feb 16, 2018, registered Aug 20, 2018 (185 days) · Other
- M•• F•••••••• S•••••••• I••• to H•••••• T••••••• • K•••• L••left Jan 23, 2013, registered Jun 29, 2013 (157 days) · Other
- P••• A••••• S••••••••• L•• to M•• F•••••••• S•••••••• I•••left Dec 31, 2007, registered Apr 28, 2008 (119 days) · Other
- D•••• • C• A•••••••• I••• to P••• A••••• S••••••••• L••left Dec 31, 2003, registered Dec 18, 2003 (-13 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address