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.
H•••••• K••••••••
- F•••• T•••• S••••••••• I••• BD affiliated currentsince May 10, 2023 · Traverse City, Mi
- W•••••• S••••••••• I••• BD affiliatedJun 9, 2015 to May 19, 2023 · Traverse City, Mi
- S•••••• N••••••• • C••••••• I••••••••• national BDSep 28, 2010 to Jun 10, 2015 · Traverse City, Mi
- W•••••• S••••••••• I••• to F•••• T•••• S••••••••• I•••left May 19, 2023, registered May 10, 2023 (-9 days) · Affiliated broker-dealer or bank to another
- S•••••• N••••••• • C••••••• I••••••••• to W•••••• S••••••••• I•••left Jun 10, 2015, registered Jun 9, 2015 (-1 days) · Other · moved with a team
- H•••••• K•••••••• left W•••••• S••••••••• I••• for F•••• T•••• S••••••••• I••• (registered 2023-05-10)May 19, 2023 · 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address