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.
R••••• G••••••••
- H•••••• T••••••• • K•••• L•• independent RIA currentsince Jan 9, 2023 · Conshohocken, Pa
- L•• F•••••••• L•• BD affiliatedOct 10, 2017 to Jan 13, 2023 · Fort Mill, Sc
- E••••• J•••• national BDMay 23, 2017 to Jul 6, 2017 · Fort Mill, Sc
- J••••• G••••• • C••• L•• formerDec 20, 2012 to May 15, 2017 · Uniondale, Ny
- L•• F•••••••• L•• to H•••••• T••••••• • K•••• L••left Jan 13, 2023, registered Jan 9, 2023 (-4 days) · RIA to affiliated broker-dealer or bank
- E••••• J•••• to L•• F•••••••• L••left Jul 6, 2017, registered Oct 10, 2017 (96 days) · Other
- J••••• G••••• • C••• L•• to E••••• J••••left May 15, 2017, registered May 23, 2017 (8 days) · Other
- R••••• G•••••••• left L•• F•••••••• L•• for H•••••• T••••••• • K•••• L•• (registered 2023-01-09)Jan 13, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address