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•••• A•••••• C••••••
- L••• S•••• I••••••••• L•• state registered currentsince Apr 27, 2021 · Atlantic, Nc
- M••••• S••••• W••••• M••••••••• independent RIAMar 18, 2020 to Aug 5, 2020 · Morehead City, Nc
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedJun 25, 2010 to Sep 7, 2011 · Culver, In
- S•• BD affiliatedDec 20, 2007 to Sep 8, 2008 · Maumee, Oh
- S••••• F•••••••• G•••• I•• formerNov 7, 2005 to Dec 18, 2007 · Maumee, Oh
- W•••• F•••• A••••••• wirehouseJun 7, 2000 to Oct 7, 2005 · Maumee, Oh
- M••••• S••••• W••••• M••••••••• to L••• S•••• I••••••••• L••left Aug 5, 2020, registered Apr 27, 2021 (265 days) · RIA to a state-registered adviser
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to M••••• S••••• W••••• M•••••••••left Sep 7, 2011, registered Mar 18, 2020 (3115 days) · Other
- S•• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Sep 8, 2008, registered Jun 25, 2010 (655 days) · Other
- S••••• F•••••••• G•••• I•• to S••left Dec 18, 2007, registered Dec 20, 2007 (2 days) · Other
- W•••• F•••• A••••••• to S••••• F•••••••• G•••• I••left Oct 7, 2005, registered Nov 7, 2005 (31 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
- STATE REGISTEREDderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address