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• H••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Woodcliff Lake, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 15, 2022 to Mar 31, 2025 · Paramus, Nj
- P••• I••••••••• L•• asset managerJul 10, 2003 to Sep 10, 2014 · Newark, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- P••• I••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 10, 2014, registered Sep 15, 2022 (2927 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address