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.
R••••• C••••••••• L••••••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Apr 18, 2016 · Aurora, Co
- H•••••• T••••••• • K•••• L•• independent RIAMay 6, 2004 to Jun 2, 2009 · Denver, Co
- N•• E•••••• S••••••••• C••••••••• formerNov 25, 2003 to May 6, 2004 · Denver, Co
- H•••••• T••••••• • K•••• L•• to K••••• A••••••• S•••••••• L••left Jun 2, 2009, registered Apr 18, 2016 (2512 days) · Other
- N•• E•••••• S••••••••• C••••••••• to H•••••• T••••••• • K•••• L••left May 6, 2004, registered May 6, 2004 (0 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