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•••••••• E•••••••• L••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Wauwatosa, Wi
- V••• F•••••••• A•••••••• I••• BD affiliatedJun 29, 2012 to Feb 23, 2022 · Columbus, Oh
- V••• F•••••••• P•••••••• L•• formerMar 1, 2011 to Jan 25, 2012 · Milwaukee, Wi
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 31, 2011 to Mar 9, 2011 · Columbus, Oh
- V••• F•••••••• P•••••••• L•• formerJan 8, 2009 to Jan 31, 2011 · Windsor, Ct
- V••• F•••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Feb 23, 2022, registered Jun 29, 2023 (491 days) · Affiliated broker-dealer or bank to another
- V••• F•••••••• P•••••••• L•• to V••• F•••••••• A•••••••• I•••left Jan 25, 2012, registered Jun 29, 2012 (156 days) · Other
- V••• F•••••••• A•••••••• I••• to V••• F•••••••• P•••••••• L••left Mar 9, 2011, registered Mar 1, 2011 (-8 days) · Other
- V••• F•••••••• P•••••••• L•• to V••• F•••••••• A•••••••• I•••left Jan 31, 2011, registered Jan 31, 2011 (0 days) · corporate re-registration, not a move
- K•••••••• E•••••••• L•••• left V••• F•••••••• A•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)Feb 23, 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address