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.
S•••••• N••• K•••
- H•••••• T••••••• • K•••• L•• independent RIA currentsince Jul 11, 2024 · Boca Raton, Fl
- O•••• W•••••• I••• BD affiliatedSep 1, 2023 to Jul 16, 2024 · Fort Lauderdale, Fl
- S•••••••• F••••••••• I••• formerMar 27, 2018 to Sep 1, 2023 · Fort Lauderdale, Fl
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Mar 28, 2018 · Fort Lauderdale, Fl
- M•• F•••••••• S•••••••• I••• formerAug 21, 2015 to Mar 25, 2017 · Fort Lauderdale, Fl
- E•••••••• A•••••••• L•• national BDMar 16, 2009 to Aug 26, 2015 · Ft. Lauderdale, Fl
- O•••• W•••••• I••• to H•••••• T••••••• • K•••• L••left Jul 16, 2024, registered Jul 11, 2024 (-5 days) · Affiliated broker-dealer or bank to another
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to S•••••••• F••••••••• I•••left Mar 28, 2018, registered Mar 27, 2018 (-1 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to M•• F•••••••• S•••••••• I•••left Aug 26, 2015, registered Aug 21, 2015 (-5 days) · Other
- S•••••• N••• K••• left O•••• W•••••• I••• for H•••••• T••••••• • K•••• L•• (registered 2024-07-11)Jul 16, 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address