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•• L••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 12, 2025 · St. Petersburg, Fl
- F•••• T•••• S••••••••• I••• BD affiliatedDec 21, 2022 to Mar 13, 2025 · Largo, Fl
- F••••• I••••••••• independent RIAFeb 23, 2021 to Dec 16, 2022 · Tampa, Fl
- C••• F•••••••• S•••••••• L••• formerJun 22, 2009 to Sep 25, 2009 · Harrisburg, Pa
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Jun 16, 2009 · Greensboro, Nc
- A• G• E•••••• • S•••• I••• unclassifiedNov 6, 2006 to Jan 1, 2008 · High Point, Nc
- F•••• T•••• S••••••••• I••• to L•• F•••••••• L••left Mar 13, 2025, registered Mar 12, 2025 (-1 days) · Affiliated broker-dealer or bank to another
- F••••• I••••••••• to F•••• T•••• S••••••••• I•••left Dec 16, 2022, registered Dec 21, 2022 (5 days) · RIA to affiliated broker-dealer or bank
- C••• F•••••••• S•••••••• L••• to F••••• I•••••••••left Sep 25, 2009, registered Feb 23, 2021 (4169 days) · Other
- W•••• F•••• A••••••• to C••• F•••••••• S•••••••• L•••left Jun 16, 2009, registered Jun 22, 2009 (6 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- K••••••• A•• L•••• left F•••• T•••• S••••••••• I••• for L•• F•••••••• L•• (registered 2025-03-12)Mar 13, 2025 · Advisor changed firm · fact
- K••••••• A•• L•••• left F••••• I••••••••• for F•••• T•••• S••••••••• I••• (registered 2022-12-21)Dec 16, 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address