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.
A•••••• K• R•••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Dec 14, 2022 · Columbus, Oh
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMar 28, 2011 to Nov 28, 2022 · Fairfield, Ia
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJul 19, 2010 to Feb 18, 2011 · Fairfield, Ia
- S•••••••• F••••••••• I••• formerJul 5, 2006 to May 6, 2009 · Phoenix, Az
- C•••••••• I••••••••• R••••••• A•••••••• I••• to J••• M••••• S••••••••• L••left Nov 28, 2022, registered Dec 14, 2022 (16 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• F••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 6, 2009, registered Jul 19, 2010 (439 days) · Other
- A•••••• K• R••••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for J••• M••••• S••••••••• L•• (registered 2022-12-14)Nov 28, 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address