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.
M•••••• B•••• K•••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Feb 26, 2025 · Tampa, Fl
- M••••• S•••••• wirehouseDec 21, 2012 to Mar 12, 2025 · Tampa, Fl
- V•••• F•••••••• A•••••••• I••• BD affiliatedApr 6, 2009 to Aug 18, 2011 · Chicago, Il
- B•• H••••• F•••••••• A•••••••• I•• formerMar 12, 2007 to Dec 19, 2008 · Winnetka, Il
- A••••••••• F•••••••• S•••••••• L•• national BDMar 7, 2005 to Jan 23, 2007 · Rosemont, Il
- M••••• S•••••• to C••••• I••••••••• A••••••• L••left Mar 12, 2025, registered Feb 26, 2025 (-14 days) · Wirehouse to affiliated broker-dealer or bank
- V•••• F•••••••• A•••••••• I••• to M••••• S••••••left Aug 18, 2011, registered Dec 21, 2012 (491 days) · Other
- B•• H••••• F•••••••• A•••••••• I•• to V•••• F•••••••• A•••••••• I•••left Dec 19, 2008, registered Apr 6, 2009 (108 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to B•• H••••• F•••••••• A•••••••• I••left Jan 23, 2007, registered Mar 12, 2007 (48 days) · Other
- M•••••• B•••• K••• left M••••• S•••••• for C••••• I••••••••• A••••••• L•• (registered 2025-02-26)Mar 12, 2025 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address