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•••• A••• C••••
- A••••••• F••••••••• L••• BD affiliated currentsince Apr 26, 2023 · Lawrence, Ks
- C••••• A•••••• N••••••• L•• formerMay 28, 2009 to Apr 20, 2023 · Lawrence, Ks
- A••••••• F•••••••• A••••••• formerOct 25, 2007 to Oct 6, 2023 · Lawrence, Ks
- A••••••• F•••••••• A••••••• to C••••• A•••••• N••••••• L••left Oct 6, 2023, registered May 28, 2009 (-5244 days) · Other
- C••••• A•••••• N••••••• L•• to A••••••• F••••••••• L•••left Apr 20, 2023, registered Apr 26, 2023 (6 days) · Affiliated broker-dealer or bank to another · moved with a team
- K•••• A••• C•••• left A••••••• F•••••••• A••••••• for C••••• A•••••• N••••••• L•• (registered 2009-05-28)Oct 6, 2023 · a•••••• firm change · fact
- K•••• A••• C•••• left C••••• A•••••• N••••••• L•• for A••••••• F••••••••• L••• (registered 2023-04-26)Apr 20, 2023 · a•••••• firm change · 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