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.
S•••••• L•••• K•••••••••
- 4•• P• state registered currentsince Jan 22, 2026 · Billings, Mt
- S••••••• W••••• M••••••••• L•• state registeredMar 16, 2022 to Jun 6, 2023 · Austin, Tx
- M••••• S•••••• wirehouseOct 1, 2019 to Apr 21, 2021 · Billings, Mt
- O••••• C•••••• M••••••••• state registeredSep 16, 2010 to Apr 11, 2012 · Billings, Mt
- I••••••••• M••••••••• G•••• mixed wealthFeb 5, 2009 to Mar 24, 2010 · Billings, Mt
- O••••• C•••••• M••••••••• state registeredSep 29, 2004 to Feb 6, 2009 · Billings, Mt
- C•••••• S••••• • C••• I••• national BDAug 29, 2000 to Aug 6, 2004 · Mt
- S••••••• W••••• M••••••••• L•• to 4•• P•left Jun 6, 2023, registered Jan 22, 2026 (961 days) · Other
- M••••• S•••••• to S••••••• W••••• M••••••••• L••left Apr 21, 2021, registered Mar 16, 2022 (329 days) · Wirehouse to a state-registered adviser
- O••••• C•••••• M••••••••• to M••••• S••••••left Apr 11, 2012, registered Oct 1, 2019 (2729 days) · Other
- I••••••••• M••••••••• G•••• to O••••• C•••••• M•••••••••left Mar 24, 2010, registered Sep 16, 2010 (176 days) · Other
- O••••• C•••••• M••••••••• to I••••••••• M••••••••• G••••left Feb 6, 2009, registered Feb 5, 2009 (-1 days) · Other
- C•••••• S••••• • C••• I••• to O••••• C•••••• M•••••••••left Aug 6, 2004, registered Sep 29, 2004 (54 days) · Affiliated broker-dealer or bank to a state-registered adviser
- S•••••• L•••• K••••••••• left S••••••• W••••• M••••••••• L•• for 4•• P• (registered 2026-01-22)Jun 6, 2023 · 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
- STATE REGISTEREDderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address