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•••• K•••• C••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince May 13, 2021 · Springfield, Ma
- J•••••• B••••••• independent RIANov 13, 2019 to Mar 10, 2021 · Wethersfield, Ct
- E•••••• C•••••• M••••••••• L•• formerApr 9, 2014 to Sep 23, 2019 · Arlington, Va
- M••••• S•••••• D• I••• unclassifiedJun 1, 2004 to Mar 16, 2005 · Paramus, Nj
- J•••••• B••••••• to M•• I•••••••• S•••••••• L••left Mar 10, 2021, registered May 13, 2021 (64 days) · RIA to affiliated broker-dealer or bank
- E•••••• C•••••• M••••••••• L•• to J•••••• B•••••••left Sep 23, 2019, registered Nov 13, 2019 (51 days) · RIA to RIA
- M••••• S•••••• D• I••• to E•••••• C•••••• M••••••••• L••left Mar 16, 2005, registered Apr 9, 2014 (3311 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address