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.
K•••••• E••••• W••••
- E••••• J•••• national BD currentsince Dec 4, 2023 · Mocksville, Nc
- T• A••••••••• I••• formerMar 1, 2018 to Mar 24, 2022 · Winston-Salem, Nc
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Mar 24, 2022 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerApr 25, 2017 to Feb 26, 2018 · Saint Louis, Mo
- W•••• F•••• A••••••• wirehouseJan 2, 2004 to Oct 18, 2011 · Winston-Salem, Nc
- W••••••• S••••••••• I••• unclassifiedMar 25, 2002 to Jun 20, 2002 · Charlotte, Nc
- T• A••••••••• I••• to E••••• J••••left Mar 24, 2022, registered Dec 4, 2023 (620 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Mar 24, 2022, registered Mar 1, 2018 (-1484 days) · channel change inside one enterprise, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to S•••••••• I••••••••• M•••••••••left Oct 18, 2011, registered Apr 25, 2017 (2016 days) · Other
- W••••••• S••••••••• I••• to W•••• F•••• A•••••••left Jun 20, 2002, registered Jan 2, 2004 (561 days) · corporate re-registration, not a move
- K•••••• E••••• W•••• left T• A••••••••• I••• for E••••• J•••• (registered 2023-12-04)Mar 24, 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address