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.
D•••••• R••••• D•••••
- K••••• A•••• M••••••••• L•• asset manager currentsince May 1, 2023 · Hobe Sound, Fl
- R••••••••• C•••••• M••••••••• BD affiliatedApr 16, 2019 to Mar 16, 2021 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 13, 2004 to Feb 25, 2006 · Rockland, Ma
- R••••••••• C•••••• M••••••••• to K••••• A•••• M••••••••• L••left Mar 16, 2021, registered May 1, 2023 (776 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••••••••• C•••••• M•••••••••left Feb 25, 2006, registered Apr 16, 2019 (4798 days) · Wirehouse to independent RIA
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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address