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.
E••• K• L••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Bennington, Vt
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 6, 2018 to Mar 31, 2025 · Albany, Ny
- L•• F•••••••• L•• BD affiliatedJul 11, 2011 to May 28, 2013 · Albany, Ny
- G••••••• A•••• M••••••••• L•• formerOct 5, 2009 to Dec 31, 2011 · Bluffton, Sc
- R•••••• J•••• • A••••••••• I••• national BDMay 15, 2009 to Sep 18, 2009 · Pittsfield, Ma
- U•• F•••••••• S••••••• I••• wirehouseJan 6, 2009 to Jun 4, 2009 · Springfield, Ma
- D••• M•••• M••••••••• I•• unclassifiedMay 25, 2005 to Oct 31, 2006 · Williamstown, Ma
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left May 28, 2013, registered Sep 6, 2018 (1927 days) · Other
- G••••••• A•••• M••••••••• L•• to L•• F•••••••• L••left Dec 31, 2011, registered Jul 11, 2011 (-173 days) · Other
- R•••••• J•••• • A••••••••• I••• to G••••••• A•••• M••••••••• L••left Sep 18, 2009, registered Oct 5, 2009 (17 days) · Other
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Jun 4, 2009, registered May 15, 2009 (-20 days) · Wirehouse to affiliated broker-dealer or bank
- D••• M•••• M••••••••• I•• to U•• F•••••••• S••••••• I•••left Oct 31, 2006, registered Jan 6, 2009 (798 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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address