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•••• L••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince May 18, 2026 · Honolulu, Hi
- S••••• I••••••••• A•••••••• L•• BD affiliatedApr 19, 2022 to May 13, 2026 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseMay 1, 2015 to Apr 19, 2022 · Honolulu, Hi
- U•• F•••••••• S••••••• I••• wirehouseJul 20, 2007 to May 13, 2015 · Honolulu, Hi
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 25, 1998 to Jul 30, 2007 · Honolulu, Hi
- S••••• I••••••••• A•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 13, 2026, registered May 18, 2026 (5 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to S••••• I••••••••• A•••••••• L••left Apr 19, 2022, registered Apr 19, 2022 (0 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left May 13, 2015, registered May 1, 2015 (-12 days) · Wirehouse to wirehouse · moved with a team
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Jul 30, 2007, registered Jul 20, 2007 (-10 days) · Other
- K•••• L•• left S••••• I••••••••• A•••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2026-05-18)May 13, 2026 · Advisor changed firm · fact
- K•••• L•• left W•••• F•••• A••••••• for S••••• I••••••••• A•••••••• L•• (registered 2022-04-19)Apr 19, 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
- 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