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•••••• D••••••• C•••••••
- S•••• I••••• S••••••••• L•• independent RIA currentsince Nov 1, 2023 · Fort Lauderdale, Fl
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 9, 2023 to Nov 1, 2023 · Lehi, Ut
- J•••• R•••• A•••• M••••••••• L•• independent RIANov 25, 2019 to May 2, 2023 · Midlothian, Va
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedFeb 11, 2015 to Oct 22, 2019 · Richmond, Va
- M•• I•••••••• S•••••••• L•• to S•••• I••••• S••••••••• L••left Nov 1, 2023, registered Nov 1, 2023 (0 days) · Affiliated broker-dealer or bank to independent RIA
- J•••• R•••• A•••• M••••••••• L•• to M•• I•••••••• S•••••••• L••left May 2, 2023, registered May 9, 2023 (7 days) · RIA to affiliated broker-dealer or bank
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to J•••• R•••• A•••• M••••••••• L••left Oct 22, 2019, registered Nov 25, 2019 (34 days) · Affiliated broker-dealer or bank to independent RIA
- K•••••• D••••••• C••••••• left M•• I•••••••• S•••••••• L•• for S•••• I••••• S••••••••• L•• (registered 2023-11-01)Nov 1, 2023 · Advisor changed firm · fact
- K•••••• D••••••• C••••••• left J•••• R•••• A•••• M••••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2023-05-09)May 2, 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address