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.
E••••• A•••••••• K••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Apr 28, 2023 · Huntington, Wv
- W••••••• S••••••••• I••• BD affiliatedAug 4, 2020 to May 10, 2023 · Mineral Wells, Wv
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Dec 16, 2011 · St. Albans, Wv
- B••• O•• S••••••••• C••••••••• unclassifiedSep 25, 2003 to Jul 6, 2005 · Elkview, Wv
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 28, 2002 to Sep 15, 2003 · Charleston, Wv
- W••••••• S••••••••• I••• to C••••• I••••••••• A••••••• L••left May 10, 2023, registered Apr 28, 2023 (-12 days) · Affiliated broker-dealer or bank to another
- C•••• I••••••••• S••••••• C•••• to W••••••• S••••••••• I•••left Dec 16, 2011, registered Aug 4, 2020 (3154 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• O•• S••••••••• C•••••••••left Sep 15, 2003, registered Sep 25, 2003 (10 days) · Other
- E••••• A•••••••• K•••••• left W••••••• S••••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2023-04-28)May 10, 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address