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•••• L••• K••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Jacksonville, Fl
- S••••••••• A•••••• A•••••••• I••• formerJul 17, 2020 to Jun 14, 2024 · Jacksonville, Fl
- I••••••••• A••••••• S••••••• I•• formerJan 6, 2017 to Jul 17, 2020 · Jacksonville, Fl
- S•••••• N••••••• • C••••••• I••••••••• national BDJul 31, 2007 to Nov 17, 2015 · Boca Raton, Fl
- R••• B••• • C•• unclassifiedDec 2, 2005 to Jul 31, 2007 · Ponte Vedra Beach, Fl
- A•••••• I••• unclassifiedMay 19, 2005 to Dec 20, 2005 · Ponte Vedra, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to May 9, 2005 · Ponte Vedra Beach, Fl
- Q•••• • R•••••• I••• unclassifiedMar 14, 2003 to Oct 20, 2004 · Ponte Vedra, Fl
- C•••••• L•• independent RIAOct 18, 2002 to Apr 22, 2003 · Jacksonville Beach, Fl
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- I••••••••• A••••••• S••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Jul 17, 2020, registered Jul 17, 2020 (0 days) · corporate re-registration, not a move
- S•••••• N••••••• • C••••••• I••••••••• to I••••••••• A••••••• S••••••• I••left Nov 17, 2015, registered Jan 6, 2017 (416 days) · Other
- R••• B••• • C•• to S•••••• N••••••• • C••••••• I•••••••••left Jul 31, 2007, registered Jul 31, 2007 (0 days) · corporate re-registration, not a move
- A•••••• I••• to R••• B••• • C••left Dec 20, 2005, registered Dec 2, 2005 (-18 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to A•••••• I•••left May 9, 2005, registered May 19, 2005 (10 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- C•••••• L•• to Q•••• • R•••••• I•••left Apr 22, 2003, registered Mar 14, 2003 (-39 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address