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•••••• J•••• N••
- A•••• W••••• A•••••••• L•• BD affiliated currentsince Oct 12, 2023 · Merritt Island, Fl
- C••••• S••••• A•••••••• I••• formerNov 28, 2017 to Nov 16, 2023 · Merritt Island, Fl
- P••••••• F•••••••• W••••• M••••••••• L•• unclassifiedJun 25, 2015 to Dec 31, 2017 · Merritt Island, Fl
- B••••••••• C•••••• M••••••••• L•• independent RIAApr 16, 2009 to May 13, 2015 · Bristol, Va
- U•• F•••••••• S••••••••• L•• independent RIAAug 21, 2007 to Feb 4, 2009 · Melbourne, Fl
- C••••• S••••• A•••••••• I••• to A•••• W••••• A•••••••• L••left Nov 16, 2023, registered Oct 12, 2023 (-35 days) · RIA to affiliated broker-dealer or bank · moved with a team
- P••••••• F•••••••• W••••• M••••••••• L•• to C••••• S••••• A•••••••• I•••left Dec 31, 2017, registered Nov 28, 2017 (-33 days) · Other
- B••••••••• C•••••• M••••••••• L•• to P••••••• F•••••••• W••••• M••••••••• L••left May 13, 2015, registered Jun 25, 2015 (43 days) · Other
- U•• F•••••••• S••••••••• L•• to B••••••••• C•••••• M••••••••• L••left Feb 4, 2009, registered Apr 16, 2009 (71 days) · Other
- K•••••• J•••• N•• left C••••• S••••• A•••••••• I••• for A•••• W••••• A•••••••• L•• (registered 2023-10-12)Nov 16, 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address