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•••• M••••••• L•••• E•••••
- P•••••••• A••••••• national BD currentsince Feb 11, 2026 · Waukesha, Wi
- P•••••••• A••••••• national BDDec 19, 2019 to Dec 31, 2025 · Waukesha, Wi
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Nov 12, 2007 · Chicago, Il
- Q•••• • R•••••• I••• unclassifiedMar 3, 2004 to Oct 20, 2004 · Northbrook, Il
- B••• O• A•••••• I••••••••• S•••••••• I••• to P•••••••• A•••••••left Nov 12, 2007, registered Dec 19, 2019 (4420 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
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