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•••• H••••• K•••••
- L•••••• S••••• A••••••• independent RIA currentsince Nov 20, 2023 · Yardley, Pa
- R•• C•••••• M••••••• L•• national BDNov 15, 2022 to Sep 27, 2023 · Mount Laurel, Nj
- J••••• M••••••••• S•••• L•• BD affiliatedNov 24, 2014 to Nov 7, 2022 · Hackensack, Nj
- R•• C•••••• M••••••• L•• to L•••••• S••••• A•••••••left Sep 27, 2023, registered Nov 20, 2023 (54 days) · Affiliated broker-dealer or bank to independent RIA
- J••••• M••••••••• S•••• L•• to R•• C•••••• M••••••• L••left Nov 7, 2022, registered Nov 15, 2022 (8 days) · Affiliated broker-dealer or bank to another
- M•••• H••••• K••••• left R•• C•••••• M••••••• L•• for L•••••• S••••• A••••••• (registered 2023-11-20)Sep 27, 2023 · Advisor changed firm · fact
- M•••• H••••• K••••• left J••••• M••••••••• S•••• L•• for R•• C•••••• M••••••• L•• (registered 2022-11-15)Nov 7, 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address