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.
P•••• T••••• K•••••
- K••••• A•••••••• L•• former currentsince Feb 7, 2017 · Southern Pines, Nc
- H••••• I••••••••• M••••••••• L•• independent RIAJan 26, 2021 to Apr 14, 2025 · Southern Pines, Nc
- H••••• I••••••••• M••••••••• L•• independent RIAMar 9, 2017 to Jan 2, 2019 · Pinehurst, Nc
- F•••••••• A•••••••• L•• institutionalFeb 2, 2012 to Jan 11, 2017 · Philadelphia, Pa
- E•••••••• A••••••• formerJul 9, 2010 to Jan 11, 2017 · Mason, Oh
- L•••••• A••••••• unclassifiedMar 27, 2010 to Jun 30, 2010 · Philadelphia, Pa
- I•••••••• C•••••• A••••••• formerMay 15, 2009 to Aug 14, 2009 · Horsham, Pa
- C••••••••• A•••••••• I•• formerMay 30, 2008 to May 15, 2009 · Horsham, Pa
- B•• S••••••••• I••• independent RIAMay 10, 2004 to Jul 17, 2006 · Cherry Hill, Nj
- H••••• I••••••••• M••••••••• L•• to no registered destinationleft Apr 14, 2025 · Departure, no registered destination
- E•••••••• A••••••• to F•••••••• A•••••••• L••left Jan 11, 2017, registered Feb 2, 2012 (-1805 days) · channel change inside one enterprise, not a move
- F•••••••• A•••••••• L•• to K••••• A•••••••• L••left Jan 11, 2017, registered Feb 7, 2017 (27 days) · Other
- L•••••• A••••••• to E•••••••• A•••••••left Jun 30, 2010, registered Jul 9, 2010 (9 days) · Other
- I•••••••• C•••••• A••••••• to L•••••• A•••••••left Aug 14, 2009, registered Mar 27, 2010 (225 days) · Other
- C••••••••• A•••••••• I•• to I•••••••• C•••••• A•••••••left May 15, 2009, registered May 15, 2009 (0 days) · Other
- B•• S••••••••• I••• to C••••••••• A•••••••• I••left Jul 17, 2006, registered May 30, 2008 (683 days) · Other
- P•••• T••••• K••••• no longer registered at H••••• I••••••••• M••••••••• L••; no later IA registration on IAPDApr 14, 2025 · Advisor departure · 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
- Former SEC-registered adviserderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address