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•••• F• S•••••••
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliated currentsince Jan 24, 2018 · Raleigh, Nc
- C••• F•••••••• S•••••••• L••• formerDec 19, 2012 to Dec 8, 2017 · Raleigh, Nc
- P••• A••••• S••••••••• L•• BD affiliatedDec 12, 2011 to Dec 4, 2012 · Raleigh, Nc
- H• B•••• I••• formerJul 7, 2009 to Aug 17, 2011 · Coventry, Ri
- H•••••• T••••••• • K•••• L•• independent RIAJul 2, 2007 to Apr 8, 2009 · Coventry, Ri
- C••••••• S••••••••• I••• BD affiliatedJan 2, 2002 to Jun 8, 2007 · Smithfield, Ri
- C••• F•••••••• S•••••••• L••• to F•••• C••••••• I••••••• S•••••••• I•••left Dec 8, 2017, registered Jan 24, 2018 (47 days) · Other
- P••• A••••• S••••••••• L•• to C••• F•••••••• S•••••••• L•••left Dec 4, 2012, registered Dec 19, 2012 (15 days) · Other
- H• B•••• I••• to P••• A••••• S••••••••• L••left Aug 17, 2011, registered Dec 12, 2011 (117 days) · Other
- H•••••• T••••••• • K•••• L•• to H• B•••• I•••left Apr 8, 2009, registered Jul 7, 2009 (90 days) · Other
- C••••••• S••••••••• I••• to H•••••• T••••••• • K•••• L••left Jun 8, 2007, registered Jul 2, 2007 (24 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address