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.
M•••••• T••••••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Aug 12, 2024 · Austin, Tx
- O•••• F•• I••• formerNov 19, 2008 to Aug 9, 2024 · Newton, Nj
- N••• F•••••••• G••••• I••• formerNov 20, 2006 to Dec 17, 2008 · Houston, Tx
- O•••• F•• I••• formerJul 8, 2002 to Nov 27, 2006 · Newton, Nj
- O•••• F•• I••• to K••••• A••••••• S•••••••• L••left Aug 9, 2024, registered Aug 12, 2024 (3 days) · Affiliated broker-dealer or bank to another
- N••• F•••••••• G••••• I••• to O•••• F•• I•••left Dec 17, 2008, registered Nov 19, 2008 (-28 days) · Other
- O•••• F•• I••• to N••• F•••••••• G••••• I•••left Nov 27, 2006, registered Nov 20, 2006 (-7 days) · Other
- M•••••• T•••••••• left O•••• F•• I••• for K••••• A••••••• S•••••••• L•• (registered 2024-08-12)Aug 9, 2024 · 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address