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•••• K•••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Apr 5, 2022 · Plymouth, Mn
- I•••••• C•••••• A••••••• formerJan 2, 2018 to Apr 5, 2022 · Jacksonville, Fl
- I••••••••• P•••••••• C••••••••• I••• formerJan 17, 2013 to Dec 31, 2017 · Boca Raton, Fl
- K••• F•••••••• S••••••• unclassifiedSep 20, 2007 to Oct 31, 2008 · Jacksonville, Fl
- T•• A•••••••• I••• BD affiliatedSep 4, 2007 to Jan 3, 2011 · Jacksonville, Fl
- F•••••••• R••••••• A••••••• unclassifiedJul 19, 2006 to Dec 6, 2007 · Jacksonville, Fl
- H•••••• T••••••• • K•••• L•• i••••••••• wealthSep 29, 1999 to Jan 31, 2006 · Jacksonville, Fl
- I•••••• C•••••• A••••••• to W••••• E••••••••• A••••••• S•••••••• L••left Apr 5, 2022, registered Apr 5, 2022 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
- I••••••••• P•••••••• C••••••••• I••• to I•••••• C•••••• A•••••••left Dec 31, 2017, registered Jan 2, 2018 (2 days) · Other
- T•• A•••••••• I••• to K••• F•••••••• S•••••••left Jan 3, 2011, registered Sep 20, 2007 (-1201 days) · Other
- K••• F•••••••• S••••••• to I••••••••• P•••••••• C••••••••• I•••left Oct 31, 2008, registered Jan 17, 2013 (1539 days) · Other
- F•••••••• R••••••• A••••••• to T•• A•••••••• I•••left Dec 6, 2007, registered Sep 4, 2007 (-93 days) · Other
- H•••••• T••••••• • K•••• L•• to F•••••••• R••••••• A•••••••left Jan 31, 2006, registered Jul 19, 2006 (169 days) · Other
- D•••• K••• left I•••••• C•••••• A••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-04-05)Apr 5, 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address