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••• L•••
- C••••••••• F•••••••• N•••••• national BD currentsince Aug 3, 2022 · Merrillville, In
- Q•••••• A•••• M••••••••• I••• formerJul 19, 2011 to Jun 2, 2017 · Minneapolis, Mn
- C•••••••• F•••••••• G•••• A••••••• formerJun 10, 2010 to May 24, 2011 · Lafayette, In
- M•• F•••••••• S•••••••• I••• formerApr 7, 2009 to Jun 7, 2010 · Merrillville, In
- M•• F•••••••• S•••••••• I••• formerJun 13, 2001 to Sep 26, 2003 · Merrillville, In
- Q•••••• A•••• M••••••••• I••• to C••••••••• F•••••••• N••••••left Jun 2, 2017, registered Aug 3, 2022 (1888 days) · Other
- C•••••••• F•••••••• G•••• A••••••• to Q•••••• A•••• M••••••••• I•••left May 24, 2011, registered Jul 19, 2011 (56 days) · Other
- M•• F•••••••• S•••••••• I••• to C•••••••• F•••••••• G•••• A•••••••left Jun 7, 2010, registered Jun 10, 2010 (3 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address