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.
J••• M•••••• K••••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Sep 20, 2016 · Reston, Va
- S••••••• I••••••••• I••• formerMay 13, 2016 to Oct 5, 2016 · Reston, Va
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedFeb 20, 2003 to May 13, 2016 · Reston, Va
- A••••••••• F•••••••• S•••••••• L•• national BDNov 15, 1993 to May 8, 2002 · Oakton, Va
- S••••••• I••••••••• I••• to K••••• A••••••• S•••••••• L••left Oct 5, 2016, registered Sep 20, 2016 (-15 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to S••••••• I••••••••• I•••left May 13, 2016, registered May 13, 2016 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to T••••••••• F•••••••• A•••••••• L••left May 8, 2002, registered Feb 20, 2003 (288 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address