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.
J•••• E•••• K•••
- E••••• J•••• national BD currentsince Oct 18, 2024 · Goshen, In
- L•• F•••••••• L•• BD affiliatedMay 18, 2022 to Oct 16, 2024 · Goshen, In
- C••• B•••••••• S•••••••• I••• formerSep 9, 2016 to May 18, 2022 · Victorville, Ca
- L••• S••••••••• I••• independent RIAOct 8, 2014 to Aug 29, 2016 · Helendale, Ca
- P••••••••• S••••••••• C••••••••• independent RIAOct 31, 2011 to Sep 15, 2014 · Carpinteria, Ca
- S•••••••• F••••••••• I••• formerOct 20, 2010 to Nov 1, 2011 · Barstow, Ca
- N••• F•••••••• G••••• I••• formerJan 5, 2005 to Sep 10, 2010 · Barstow, Ca
- L•• F•••••••• L•• to E••••• J••••left Oct 16, 2024, registered Oct 18, 2024 (2 days) · Affiliated broker-dealer or bank to another
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- L••• S••••••••• I••• to C••• B•••••••• S•••••••• I•••left Aug 29, 2016, registered Sep 9, 2016 (11 days) · Other
- P••••••••• S••••••••• C••••••••• to L••• S••••••••• I•••left Sep 15, 2014, registered Oct 8, 2014 (23 days) · Other
- S•••••••• F••••••••• I••• to P••••••••• S••••••••• C•••••••••left Nov 1, 2011, registered Oct 31, 2011 (-1 days) · Other
- N••• F•••••••• G••••• I••• to S•••••••• F••••••••• I•••left Sep 10, 2010, registered Oct 20, 2010 (40 days) · Other
- J•••• E•••• K••• left L•• F•••••••• L•• for E••••• J•••• (registered 2024-10-18)Oct 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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address