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••••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Sep 2, 2025 · Laguna Hills, Ca
- V••••• W••••• S••••••••• L•• independent RIAJan 12, 2018 to Sep 3, 2025 · Lake Forest, Ca
- L•• F•••••••• L•• BD affiliatedNov 29, 2017 to Apr 4, 2018 · Lake Forest, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJan 19, 2011 to Nov 29, 2017 · Lake Forest, Ca
- V••• F•••••••• P•••••••• L•• formerJun 18, 2008 to Aug 20, 2009 · Windsor, Ct
- M••••• S•••••• • C•• L•• unclassifiedDec 21, 2007 to Apr 7, 2008 · Springfield, Ma
- V••••• W••••• S••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 3, 2025, registered Sep 2, 2025 (-1 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to V••••• W••••• S••••••••• L••left Apr 4, 2018, registered Jan 12, 2018 (-82 days) · RIA to RIA · moved with a team
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Nov 29, 2017, registered Nov 29, 2017 (0 days) · Other · moved with a team
- V••• F•••••••• P•••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Aug 20, 2009, registered Jan 19, 2011 (517 days) · Other
- M••••• S•••••• • C•• L•• to V••• F•••••••• P•••••••• L••left Apr 7, 2008, registered Jun 18, 2008 (72 days) · Other
- N••••• K• M•••••••• left V••••• W••••• S••••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-09-02)Sep 3, 2025 · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address