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.
N••••• K• M••••••••
- O••••••••• S••••••••• I••• BD affiliated currentsince Mar 26, 2024 · Indianapolis, In
- L•• F•••••••• L•• BD affiliatedMay 19, 2022 to Feb 13, 2023 · Tampa, Fl
- P•••• S••••••••• L•• no RAUMDec 21, 2018 to Oct 12, 2020 · Tampa, Fl
- P••• A••••• S••••••••• L•• BD affiliatedJun 13, 2016 to Oct 19, 2018 · Boca Raton, Fl
- S•••••••• F••••••••• I••• formerOct 2, 2014 to Jan 11, 2016 · Downers Grove, Il
- P•••• S••••••••• L•• no RAUMMay 1, 2009 to May 13, 2014 · Wauwatosa, Wi
- L•• F•••••••• L•• to O••••••••• S••••••••• I•••left Feb 13, 2023, registered Mar 26, 2024 (407 days) · RIA to affiliated broker-dealer or bank
- P•••• S••••••••• L•• to L•• F•••••••• L••left Oct 12, 2020, registered May 19, 2022 (584 days) · Affiliated broker-dealer or bank to independent RIA
- P••• A••••• S••••••••• L•• to P•••• S••••••••• L••left Oct 19, 2018, registered Dec 21, 2018 (63 days) · Affiliated broker-dealer or bank to another
- S•••••••• F••••••••• I••• to P••• A••••• S••••••••• L••left Jan 11, 2016, registered Jun 13, 2016 (154 days) · Other · moved with a team
- P•••• S••••••••• L•• to S•••••••• F••••••••• I•••left May 13, 2014, registered Oct 2, 2014 (142 days) · Other
- N••••• K• M•••••••• left L•• F•••••••• L•• for O••••••••• S••••••••• I••• (registered 2024-03-26)Feb 13, 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