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.
G••••• J••••• K•••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jan 5, 2026 · Plymouth, Mn
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliatedMar 2, 2021 to Dec 31, 2025 · Plymouth, Mn
- R••• A•••••••• L•• formerAug 30, 2005 to Mar 2, 2021 · Danbury, Ct
- U•• F•••••••• S••••••• I••• wirehouseJun 15, 2001 to Jan 14, 2005 · Ridgefield, Ct
- R••• A•••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Mar 2, 2021, registered Mar 2, 2021 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to R••• A•••••••• L••left Jan 14, 2005, registered Aug 30, 2005 (228 days) · Other
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