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.
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R••••• K•••
- P•• W••••• M••••••••• BD affiliated currentsince Jul 19, 2023 · Youngstown, Oh
- P•••• S••••••••• L•• no RAUMJun 3, 2022 to Jul 19, 2023 · Independence, Oh
- C••••••• S••••••••• I••• BD affiliatedOct 31, 2019 to May 23, 2022 · Fairlawn, Oh
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 26, 2019 to Oct 31, 2019 · Boardman, Oh
- E••••• J•••• national BDAug 28, 2017 to Nov 27, 2017 · Boardman, Oh
- P•••• S••••••••• L•• to P•• W••••• M•••••••••left Jul 19, 2023, registered Jul 19, 2023 (0 days) · Affiliated broker-dealer or bank to another
- C••••••• S••••••••• I••• to P•••• S••••••••• L••left May 23, 2022, registered Jun 3, 2022 (11 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to C••••••• S••••••••• I•••left Oct 31, 2019, registered Oct 31, 2019 (0 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to M•• I•••••••• S•••••••• L••left Nov 27, 2017, registered Feb 26, 2019 (456 days) · Affiliated broker-dealer or bank to another
- R••••• K••• left P•••• S••••••••• L•• for P•• W••••• M••••••••• (registered 2023-07-19)Jul 19, 2023 · Advisor changed firm · fact
- R••••• K••• left C••••••• S••••••••• I••• for P•••• S••••••••• L•• (registered 2022-06-03)May 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address