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•••••• C• K•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Canfield, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedOct 15, 2021 to May 27, 2022 · Canfield, Oh
- C••••• I••••••••• A••••••• L•• BD affiliatedMar 14, 2017 to Oct 13, 2021 · Boardman, Oh
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Feb 16, 2017 · Canton, Oh
- C••••• I••••••••• S••••••• L•• formerMay 17, 2011 to Jan 21, 2014 · Youngstown, Oh
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedApr 9, 2008 to May 16, 2011 · Youngstown, Oh
- H••••••••• F•••••••• A••••••• to C••••• I••••••••• A••••••• L••left May 27, 2022, registered Jun 29, 2023 (398 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to H••••••••• F•••••••• A•••••••left Oct 13, 2021, registered Oct 15, 2021 (2 days) · Affiliated broker-dealer or bank to another · moved with a team
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- U•••• F•••••••• S••••••• G••••• I••• to C••••• I••••••••• S••••••• L••left May 16, 2011, registered May 17, 2011 (1 days) · Other
- K•••••• C• K••••• left H••••••••• F•••••••• A••••••• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)May 27, 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address