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.
B•••• S••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Jan 29, 2025 · Greenwood Village, Co
- K••••• A••••••• S•••••••• L•• BD affiliatedAug 30, 2016 to Sep 23, 2019 · Paramus, Nj
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 20, 2016 to Jun 6, 2016 · Austin, Tx
- N•• A•••••• S•••••••• L•• formerSep 22, 2014 to Jun 6, 2016 · Montvale, Nj
- S•••••••• A••••••• L•• national BDNov 13, 2013 to Mar 25, 2014 · Mt Kisco, Ny
- K••••• A••••••• S•••••••• L•• to E•••••• A••••••• G••••• L••left Sep 23, 2019, registered Jan 29, 2025 (1955 days) · Affiliated broker-dealer or bank to another
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Jun 6, 2016, registered Apr 20, 2016 (-47 days) · Other · moved with a team
- S•••••••• A••••••• L•• to N•• A•••••• S•••••••• L••left Mar 25, 2014, registered Sep 22, 2014 (181 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address