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•••• J••• K•••••••
- L•• F•••••••• L•• BD affiliated currentsince May 2, 2023 · Lake Wales, Fl
- W•••• F•••• A••••••• wirehouseSep 26, 2016 to May 11, 2023 · Clearwater, Fl
- M••••• S•••••• wirehouseSep 19, 2011 to Oct 4, 2016 · Clearwater, Fl
- M••••• K••••• • C••••••• L•• formerMar 6, 2007 to Sep 14, 2011 · Clearwater, Fl
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedFeb 4, 2004 to Feb 20, 2007 · St P••••Sburg, Fl
- I••• S••••••••• I••• unclassifiedNov 8, 2002 to Dec 11, 2003 · Ocean, Nj
- W•••• F•••• A••••••• to L•• F•••••••• L••left May 11, 2023, registered May 2, 2023 (-9 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left Oct 4, 2016, registered Sep 26, 2016 (-8 days) · Wirehouse to wirehouse · moved with a team
- M••••• K••••• • C••••••• L•• to M••••• S••••••left Sep 14, 2011, registered Sep 19, 2011 (5 days) · Other
- A•••••• I••••••••• M••••••••• C•••••• L•• to M••••• K••••• • C••••••• L••left Feb 20, 2007, registered Mar 6, 2007 (14 days) · corporate re-registration, not a move
- I••• S••••••••• I••• to A•••••• I••••••••• M••••••••• C•••••• L••left Dec 11, 2003, registered Feb 4, 2004 (55 days) · Other
- P•••• J••• K••••••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2023-05-02)May 11, 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