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.
R••••• J• K•••••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince May 22, 2024 · Richmond, Va
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Dec 15, 2023 · Atlanta, Ga
- B••• S••••••••• L•• formerJan 2, 2013 to Feb 17, 2021 · Richmond, Va
- S•••• • S••••••••• L•• formerAug 25, 2009 to Jan 2, 2013 · Richmond, Va
- A••••••••• F•••••••• S•••••••• L•• national BDJul 30, 2008 to Sep 8, 2008 · Richmond, Va
- A••••••••• F•••••••• S•••••••• L•• national BDJun 9, 2008 to Jul 29, 2008 · Richmond, Va
- T••••• A••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 15, 2023, registered May 22, 2024 (159 days) · Affiliated broker-dealer or bank to wirehouse
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- S•••• • S••••••••• L•• to B••• S••••••••• L••left Jan 2, 2013, registered Jan 2, 2013 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to S•••• • S••••••••• L••left Sep 8, 2008, registered Aug 25, 2009 (351 days) · Other
- R••••• J• K••••••••• left T••••• A••••••• S•••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-05-22)Dec 15, 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address