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.
D••••• C•••• K•• K•
- S• A•••••••• L•• independent RIA currentsince Dec 20, 2021 · Lewis Center, Oh
- H•••••• T••••••• • K•••• L•• independent RIAMar 1, 2019 to Oct 12, 2021 · Columbus, Oh
- B•••••• L••• A••••••• S•••••••• I••• BD affiliatedNov 2, 2018 to Jan 31, 2019 · Columbus, Oh
- H•••••• T••••••• • K•••• L•• to S• A•••••••• L••left Oct 12, 2021, registered Dec 20, 2021 (69 days) · Affiliated broker-dealer or bank to independent RIA
- B•••••• L••• A••••••• S•••••••• I••• to H•••••• T••••••• • K•••• L••left Jan 31, 2019, registered Mar 1, 2019 (29 days) · Affiliated broker-dealer or bank to another
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address