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••••• S•••••• wirehouse currentsince May 23, 2025 · Winchester, Va
- K•• I••••••••• S••••••• L•• BD affiliatedSep 21, 2016 to Jun 2, 2025 · Manchester, Ct
- L•• F•••••••• L•• BD affiliatedMay 16, 2012 to Sep 21, 2016 · Poughkeepsie, Ny
- H••• S••••••••• •••• I••• BD affiliatedJan 1, 2008 to May 15, 2012 · Poughkeepsie, Ny
- K•• I••••••••• S••••••• L•• to M••••• S••••••left Jun 2, 2025, registered May 23, 2025 (-10 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- L•• F•••••••• L•• to K•• I••••••••• S••••••• L••left Sep 21, 2016, registered Sep 21, 2016 (0 days) · Other · moved with a team
- H••• S••••••••• •••• I••• to L•• F•••••••• L••left May 15, 2012, registered May 16, 2012 (1 days) · corporate re-registration, not a move
- L••• P••••••••• left K•• I••••••••• S••••••• L•• for M••••• S•••••• (registered 2025-05-23)Jun 2, 2025 · 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address