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.
M•••••• C• P••••••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Oct 1, 2018 · Woodstock, Ga
- K••••• A•••••••• I••• BD affiliatedAug 3, 2009 to Oct 1, 2018 · Ft. Lauderdale, Fl
- W•• A•••••••• L• formerMar 30, 2009 to Aug 6, 2009 · Atlanta, Ga
- E•• F•••••••• A••••••• independent RIAFeb 26, 2007 to Apr 2, 2009 · Sandy Springs, Ga
- K••••• A•••••••• I••• to K••••• A••••••• S•••••••• L••left Oct 1, 2018, registered Oct 1, 2018 (0 days) · Affiliated broker-dealer or bank to another
- W•• A•••••••• L• to K••••• A•••••••• I•••left Aug 6, 2009, registered Aug 3, 2009 (-3 days) · Other
- E•• F•••••••• A••••••• to W•• A•••••••• L•left Apr 2, 2009, registered Mar 30, 2009 (-3 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address