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•••• N••••• N•••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 8, 2026 · Lexington, Ky
- C••••••••• F•••••••• N•••••• national BDJun 3, 2024 to Jun 11, 2026 · Lexington, Ky
- L•• F•••••••• L•• BD affiliatedDec 2, 2022 to Jun 13, 2024 · Lexington, Ky
- C••••••••• F•••••••• N•••••• to O•••• W•••••• I•••left Jun 11, 2026, registered Jun 8, 2026 (-3 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to C••••••••• F•••••••• N••••••left Jun 13, 2024, registered Jun 3, 2024 (-10 days) · Affiliated broker-dealer or bank to another · moved with a team
- K•••• N••••• N••••• left C••••••••• F•••••••• N•••••• for O•••• W•••••• I••• (registered 2026-06-08)Jun 11, 2026 · Advisor changed firm · fact
- K•••• N••••• N••••• left L•• F•••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2024-06-03)Jun 13, 2024 · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address