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••• T••••• L•••••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Sep 21, 2022 · Springfield, Ma
- R•• R•••••••• L•• BD affiliatedSep 9, 2014 to Oct 6, 2021 · New York, Ny
- C••••• S••••• S••••••••• •••• L•• formerAug 28, 2003 to Sep 10, 2014 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseOct 30, 2000 to Sep 15, 2003 · San Francisco, Ca
- R•• R•••••••• L•• to M•• I•••••••• S•••••••• L••left Oct 6, 2021, registered Sep 21, 2022 (350 days) · Affiliated broker-dealer or bank to another
- C••••• S••••• S••••••••• •••• L•• to R•• R•••••••• L••left Sep 10, 2014, registered Sep 9, 2014 (-1 days) · Other
- U•• F•••••••• S••••••• I••• to C••••• S••••• S••••••••• •••• L••left Sep 15, 2003, registered Aug 28, 2003 (-18 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address