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•••••• E•••• A•••••
- M•• S••••••••• L•• no RAUM currentsince Apr 3, 2023 · New York, Ny
- L•• F•••••••• L•• BD affiliatedOct 28, 2022 to Apr 3, 2023 · Matthews, Nc
- N•• Y••• L••• I••••••••• M••••••••• L•• asset managerApr 21, 2005 to Oct 1, 2007 · Parsippany, Nj
- L•• F•••••••• L•• to M•• S••••••••• L••left Apr 3, 2023, registered Apr 3, 2023 (0 days) · Other · moved with a team
- N•• Y••• L••• I••••••••• M••••••••• L•• to L•• F•••••••• L••left Oct 1, 2007, registered Oct 28, 2022 (5506 days) · Other
- K•••••• E•••• A••••• left L•• F•••••••• L•• for M•• S••••••••• L•• (registered 2023-04-03)Apr 3, 2023 · 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
- No RAUM reportedderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address