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•••• A•• K••••• E•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Mar 20, 2025 · Katy, Tx
- M•••••• A•••••• N•••••• BD affiliatedJul 17, 2017 to Mar 26, 2018 · Walnut Creek, Ca
- L•• F•••••••• L•• BD affiliatedFeb 14, 2014 to Dec 20, 2018 · Walnut Creek, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Feb 19, 2014 · Pleasant Hill, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJun 25, 2008 to Jan 3, 2011 · Walnut Creek, Ca
- L•• F•••••••• L•• to M•••••• A•••••• N••••••left Dec 20, 2018, registered Jul 17, 2017 (-521 days) · Other
- M•••••• A•••••• N•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 26, 2018, registered Mar 20, 2025 (2551 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to L•• F•••••••• L••left Feb 19, 2014, registered Feb 14, 2014 (-5 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address