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•••• C••••••••• L•••
- C••••••••• S••••••••• L•• BD affiliated currentsince Jun 8, 2020 · Overland Park, Ks
- P•••••• W••••• M••••••••• L•• no RAUMJul 11, 2017 to Jun 5, 2020 · Baltimore, Md
- M••••• S•••••• wirehouseOct 13, 2016 to Jun 22, 2017 · Baltimore, Md
- P•••••• W••••• M••••••••• L•• to C••••••••• S••••••••• L••left Jun 5, 2020, registered Jun 8, 2020 (3 days) · RIA to affiliated broker-dealer or bank
- M••••• S•••••• to P•••••• W••••• M••••••••• L••left Jun 22, 2017, registered Jul 11, 2017 (19 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address