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•••••• S• H•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · Prescott, Az
- A•••••• A••••••• S••••••• formerOct 6, 2022 to Sep 5, 2025 · Prescott, Az
- W••••••• F•••••••• S•••••••• I••• formerSep 30, 2022 to Oct 5, 2022 · Atchison, Ks
- I••••••••• F•••••••• G••••• L•• BD affiliatedJul 11, 2014 to Sep 30, 2022 · Prescott, Az
- L•• F•••••••• L•• BD affiliatedAug 2, 2002 to Jul 22, 2014 · Chino Valley, Az
- U•• F•••••••• S••••••• I••• wirehouseJul 2, 1998 to Aug 13, 2002 · Fresno, Ca
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- W••••••• F•••••••• S•••••••• I••• to A•••••• A••••••• S•••••••left Oct 5, 2022, registered Oct 6, 2022 (1 days) · Affiliated broker-dealer or bank to another
- I••••••••• F•••••••• G••••• L•• to W••••••• F•••••••• S•••••••• I•••left Sep 30, 2022, registered Sep 30, 2022 (0 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to I••••••••• F•••••••• G••••• L••left Jul 22, 2014, registered Jul 11, 2014 (-11 days) · Other
- U•• F•••••••• S••••••• I••• to L•• F•••••••• L••left Aug 13, 2002, registered Aug 2, 2002 (-11 days) · Other
- K•••••• S• H••••• left W••••••• F•••••••• S•••••••• I••• for A•••••• A••••••• S••••••• (registered 2022-10-06)Oct 5, 2022 · Advisor changed firm · fact
- K•••••• S• H••••• left I••••••••• F•••••••• G••••• L•• for W••••••• F•••••••• S•••••••• I••• (registered 2022-09-30)Sep 30, 2022 · 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
- 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