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•• M••••••
- L•• F•••••••• L•• BD affiliated currentsince May 30, 2019 · St Petersburg, Fl
- K••••• A••••••• S•••••••• L•• BD affiliatedOct 31, 2018 to May 30, 2019 · Baltimore, Md
- A••••••••• F•••••••• S•••••••• L•• national BDNov 17, 2015 to Oct 24, 2018 · Hunt Valley, Md
- W•••• F•••• A••••••• wirehouseMay 11, 2012 to Nov 11, 2015 · Jacksonville, Fl
- M••••• S•••••• wirehouseFeb 22, 2010 to Mar 30, 2011 · Honolulu, Hi
- V•• A••••••• S••••••• formerAug 31, 2009 to Feb 8, 2010 · Kapolei, Hi
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 14, 2002 to Dec 31, 2008 · Honolulu, Hi
- M••••• S•••••• D• I••• unclassifiedApr 11, 2002 to Sep 30, 2002 · Alexandria, Va
- K••••• A••••••• S•••••••• L•• to L•• F•••••••• L••left May 30, 2019, registered May 30, 2019 (0 days) · Affiliated broker-dealer or bank to independent RIA
- A••••••••• F•••••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Oct 24, 2018, registered Oct 31, 2018 (7 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 11, 2015, registered Nov 17, 2015 (6 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left Mar 30, 2011, registered May 11, 2012 (408 days) · Wirehouse to wirehouse
- V•• A••••••• S••••••• to M••••• S••••••left Feb 8, 2010, registered Feb 22, 2010 (14 days) · Other
- C•••••••• G••••• M•••••• I••• to V•• A••••••• S•••••••left Dec 31, 2008, registered Aug 31, 2009 (243 days) · Other
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left Sep 30, 2002, registered Nov 14, 2002 (45 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address