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.
R•••••• A•••••• K••••••
- L•• F•••••••• L•• BD affiliated currentsince May 3, 2022 · New Castle, De
- C••••••• S••••••••• I••• BD affiliatedJul 2, 2015 to Apr 29, 2022 · Wilmington, De
- W•••• F•••• A••••••• wirehouseMay 31, 2012 to Jun 24, 2015 · Hockessin, De
- P•• W••••• M••••••••• BD affiliatedFeb 19, 2009 to Jun 1, 2012 · North East, Md
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJun 9, 2008 to Dec 16, 2008 · Wilmington, De
- C••••• I••••••••• S••••••• L•• formerMar 10, 2007 to Jun 5, 2008 · Wilmington, De
- P•• W••••• M••••••••• BD affiliatedAug 28, 2006 to Mar 8, 2007 · Newark, De
- P••• A••••• S••••••••• L•• BD affiliatedAug 30, 2005 to Jul 10, 2006 · New Castle, De
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedFeb 3, 1999 to Jun 16, 2004 · New Castle, De
- C••••••• S••••••••• I••• to L•• F•••••••• L••left Apr 29, 2022, registered May 3, 2022 (4 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to C••••••• S••••••••• I•••left Jun 24, 2015, registered Jul 2, 2015 (8 days) · Other
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Jun 1, 2012, registered May 31, 2012 (-1 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to P•• W••••• M•••••••••left Dec 16, 2008, registered Feb 19, 2009 (65 days) · Other
- C••••• I••••••••• S••••••• L•• to R•••••• J•••• F•••••••• S•••••••• I•••left Jun 5, 2008, registered Jun 9, 2008 (4 days) · Other
- P•• W••••• M••••••••• to C••••• I••••••••• S••••••• L••left Mar 8, 2007, registered Mar 10, 2007 (2 days) · Other
- P••• A••••• S••••••••• L•• to P•• W••••• M•••••••••left Jul 10, 2006, registered Aug 28, 2006 (49 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to P••• A••••• S••••••••• L••left Jun 16, 2004, registered Aug 30, 2005 (440 days) · Other
- R•••••• A•••••• K•••••• left C••••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2022-05-03)Apr 29, 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address