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••• J•••• K••••••
- L•••• F••• A••••••• S••••••• BD affiliated currentsince Dec 21, 2021 · Dallas, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDMay 18, 2010 to Jul 20, 2015 · Atlanta, Ga
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMay 12, 2010 to May 14, 2010 · Atlanta, Ga
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to May 11, 2010 · Atlanta, Ga
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJun 15, 2005 to Jan 2, 2009 · Atlanta, Ga
- A••••••••• F•••••••• S•••••••• L•• to L•••• F••• A••••••• S•••••••left Jul 20, 2015, registered Dec 21, 2021 (2346 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A••••••••• F•••••••• S•••••••• L••left May 14, 2010, registered May 18, 2010 (4 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address