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••••• W••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 12, 2024 · Buffalo, Ny
- O•••• F•• I••• formerSep 22, 2015 to Jun 22, 2023 · Harrisburg, Nc
- V••••••• A•••••••• I••• BD affiliatedFeb 5, 2015 to Sep 8, 2015 · Charlotte, Nc
- L••••• B••••••• I••• unclassifiedNov 22, 2005 to Apr 10, 2008 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerMay 23, 2003 to Apr 13, 2005 · New York, Ny
- O•••• F•• I••• to L•• F•••••••• L••left Jun 22, 2023, registered Nov 12, 2024 (509 days) · Affiliated broker-dealer or bank to another
- V••••••• A•••••••• I••• to O•••• F•• I•••left Sep 8, 2015, registered Sep 22, 2015 (14 days) · Other
- L••••• B••••••• I••• to V••••••• A•••••••• I•••left Apr 10, 2008, registered Feb 5, 2015 (2492 days) · Other
- C•••• I••••••••• S••••••• C•••• to L••••• B••••••• I•••left Apr 13, 2005, registered Nov 22, 2005 (223 days) · Other
- K•••• A••••• W•••• left O•••• F•• I••• for L•• F•••••••• L•• (registered 2024-11-12)Jun 22, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address