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•••••• E• K••••
- K•••• F••••••••• L•• state registered currentsince Oct 5, 2018 · Bloomington, Il
- I••••••••• A••••••• C••• formerJun 19, 2009 to Oct 8, 2018 · Bettendorf, Ia
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 24, 2003 to Jun 4, 2008 · Davenport, Ia
- I••••••••• A••••••• C••• to K•••• F••••••••• L••left Oct 8, 2018, registered Oct 5, 2018 (-3 days) · Affiliated broker-dealer or bank to a state-registered adviser
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••••••• A••••••• C•••left Jun 4, 2008, registered Jun 19, 2009 (380 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
- STATE REGISTEREDderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address