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.
R•••• K• R••••
- I• F•••••••• A••••••• S••••••• L•• independent RIA currentsince Jan 1, 2025 · Charlotte, Nc
- C••••••• F•••••••• D••••••• I••• BD affiliatedMar 5, 2020 to Nov 24, 2021 · Kokomo, In
- W•••• F•••• A••••••• wirehouseAug 25, 2015 to Jun 6, 2019 · Troy, Mi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 16, 2006 to Aug 26, 2015 · Bloomfield Hills, Mi
- C••••••• F•••••••• D••••••• I••• to I• F•••••••• A••••••• S••••••• L••left Nov 24, 2021, registered Jan 1, 2025 (1134 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to C••••••• F•••••••• D••••••• I•••left Jun 6, 2019, registered Mar 5, 2020 (273 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Aug 26, 2015, registered Aug 25, 2015 (-1 days) · Wirehouse to wirehouse · moved with a team
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
- Independent wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address