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.
K•••• L•••• H•••
- C••••••••• F•••••••• N•••••• national BD currentsince Sep 11, 2026 · Albuquerque, Nm
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedAug 8, 2017 to Dec 31, 2021 · Albuquerque, Nm
- C•••• A••••••• state registeredMar 6, 2015 to Aug 1, 2017 · Albuquerque, Nm
- S•••••••• A••••••• L•• national BDNov 14, 2007 to Mar 18, 2013 · Franklin, Tn
- C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••••••• F•••••••• N••••••left Dec 31, 2021, registered Sep 11, 2026 (1715 days) · Affiliated broker-dealer or bank to another
- C•••• A••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 1, 2017, registered Aug 8, 2017 (7 days) · Other
- S•••••••• A••••••• L•• to C•••• A•••••••left Mar 18, 2013, registered Mar 6, 2015 (718 days) · Affiliated broker-dealer or bank to a state-registered adviser
- K•••• L•••• H••• added a NM registration at C••••••••• F•••••••• N••••••Sep 14, 2026 · New state registration · fact
- K•••• L•••• H••• added a TX registration at C••••••••• F•••••••• N••••••Sep 11, 2026 · New state registration · 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address