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.
J••••••• K••••
- A••• I••••• A••••••• independent RIA currentsince Mar 7, 2022 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedApr 20, 2018 to Feb 22, 2022 · Fort Mill, Sc
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Apr 16, 2018 · Charlotte, Nc
- M•• F•••••••• S•••••••• I••• formerFeb 5, 2016 to Mar 25, 2017 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedJan 30, 2008 to Nov 20, 2015 · Fenton, Mi
- S••••••••• A•••••• A•••••••• I••• formerApr 13, 2004 to Jan 9, 2008 · Fort Lauderdale, Fl
- L•• F•••••••• L•• to A••• I••••• A•••••••left Feb 22, 2022, registered Mar 7, 2022 (13 days) · Affiliated broker-dealer or bank to independent RIA
- M•• I•••••••• S•••••••• L•• to L•• F•••••••• L••left Apr 16, 2018, registered Apr 20, 2018 (4 days) · Affiliated broker-dealer or bank to independent RIA
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to M•• F•••••••• S•••••••• I•••left Nov 20, 2015, registered Feb 5, 2016 (77 days) · Other
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Jan 9, 2008, registered Jan 30, 2008 (21 days) · Other
- J••••••• K•••• left L•• F•••••••• L•• for A••• I••••• A••••••• (registered 2022-03-07)Feb 22, 2022 · 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address