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.
A••• S•• W•••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 2, 2023 · Silver Creek, Ny
- E•••• S••••••••• L•• BD affiliatedApr 9, 2019 to Oct 30, 2023 · Warren, Pa
- K•• I••••••••• S••••••• L•• BD affiliatedSep 21, 2016 to Feb 27, 2019 · Cleveland, Oh
- L•• F•••••••• L•• BD affiliatedJul 24, 2013 to Sep 21, 2016 · Erie, Pa
- E•••• S••••••••• L•• to L•• F•••••••• L••left Oct 30, 2023, registered Nov 2, 2023 (3 days) · Affiliated broker-dealer or bank to another
- K•• I••••••••• S••••••• L•• to E•••• S••••••••• L••left Feb 27, 2019, registered Apr 9, 2019 (41 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to K•• I••••••••• S••••••• L••left Sep 21, 2016, registered Sep 21, 2016 (0 days) · Other · moved with a team
- A••• S•• W••••• left E•••• S••••••••• L•• for L•• F•••••••• L•• (registered 2023-11-02)Oct 30, 2023 · 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address