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.
I•• J• K•••••
- O•••• A••••••• S•••••••• L•• BD affiliated currentsince Nov 13, 2023 · Atlanta, Ga
- S•• BD affiliatedMar 1, 2010 to Nov 10, 2023 · Ann Arbor, Mi
- W••••••• F•••••••• S•••••••• I••• formerAug 14, 2007 to Nov 17, 2009 · Englewood, Co
- S•• to O•••• A••••••• S•••••••• L••left Nov 10, 2023, registered Nov 13, 2023 (3 days) · Affiliated broker-dealer or bank to another · moved with a team
- W••••••• F•••••••• S•••••••• I••• to S••left Nov 17, 2009, registered Mar 1, 2010 (104 days) · Other
- I•• J• K••••• left Spc for O•••• A••••••• S•••••••• L•• (registered 2023-11-13)Nov 10, 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