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•••••• J••••••• K••••••
- R•• C•••••• M••••••• L•• national BD currentsince Jan 18, 2022 · Boca Raton, Fl
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Jan 21, 2022 · Atlanta, Ga
- B••• S••••••••• L•• formerJul 18, 2016 to Feb 17, 2021 · Ft Lauderdale, Fl
- U•• F•••••••• S••••••• I••• wirehouseMay 23, 2008 to Aug 10, 2016 · Boca Raton, Fl
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to May 28, 2008 · Boca Raton, Fl
- M••••• S•••••• D• I••• unclassifiedMay 17, 2005 to Apr 2, 2007 · Coral Springs, Fl
- W•••• F•••• A••••••• wirehouseApr 4, 2001 to May 3, 2005 · Coral Springs, Fl
- T••••• A••••••• S•••••••• I••• to R•• C•••••• M••••••• L••left Jan 21, 2022, registered Jan 18, 2022 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to B••• S••••••••• L••left Aug 10, 2016, registered Jul 18, 2016 (-23 days) · Other
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left May 28, 2008, registered May 23, 2008 (-5 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to M••••• S•••••• D• I•••left May 3, 2005, registered May 17, 2005 (14 days) · Other
- M•••••• J••••••• K•••••• left T••••• A••••••• S•••••••• I••• for R•• C•••••• M••••••• L•• (registered 2022-01-18)Jan 21, 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
- National broker-dealer RIAderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address