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.
M•••••• K•••••• O•••
- A••• I••••• A••••••• independent RIA currentsince Jul 1, 2020 · Charlotte, Nc
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Jul 11, 2018 · Charlotte, Nc
- M•• F•••••••• S•••••••• I••• formerOct 19, 2016 to Mar 25, 2017 · Charlotte, Nc
- M•• I•••••••• S•••••••• L•• to A••• I••••• A•••••••left Jul 11, 2018, registered Jul 1, 2020 (721 days) · Affiliated broker-dealer or bank to independent RIA
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address