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.
I••••••••• K•••
- K••• A•••• M••••••••• L•• state registered currentsince Feb 10, 2014 · Cincinnati, Oh
- C••••• • A••••••••• I••• independent RIAJul 12, 2013 to Sep 18, 2017 · Cincinnati, Oh
- W•••• F•••• A••••••• wirehouseApr 26, 2004 to Jul 12, 2013 · Cincinnati, Oh
- W•••• F•••• A••••••• wirehouseMay 18, 1999 to May 3, 2004 · Cincinnati, Oh
- C••••• • A••••••••• I••• to K••• A•••• M••••••••• L••left Sep 18, 2017, registered Feb 10, 2014 (-1316 days) · Other
- W•••• F•••• A••••••• to C••••• • A••••••••• I•••left Jul 12, 2013, registered Jul 12, 2013 (0 days) · Other
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left May 3, 2004, registered Apr 26, 2004 (-7 days) · channel change inside one enterprise, not a move
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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address