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•••••• H••••• B•••
- K•• I••••••••• S••••••• L•• BD affiliated currentsince Jun 22, 2012 · Brooklyn, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedFeb 8, 2011 to Jun 21, 2012 · Englewood, Oh
- K•• I••••••••• S••••••• L•• BD affiliatedJan 17, 2008 to Jan 31, 2011 · Dayton, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedFeb 14, 2005 to Jan 11, 2008 · Dayton, Oh
- F•••• T•••• S••••••••• I••• to K•• I••••••••• S••••••• L••left Jun 21, 2012, registered Jun 22, 2012 (1 days) · Other
- K•• I••••••••• S••••••• L•• to F•••• T•••• S••••••••• I•••left Jan 31, 2011, registered Feb 8, 2011 (8 days) · Other
- F•••• T•••• S••••••••• I••• to K•• I••••••••• S••••••• L••left Jan 11, 2008, registered Jan 17, 2008 (6 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address