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•••••• K•••
- R•• R•••••••• L•• BD affiliated currentsince Apr 17, 2023 · New York, Ny
- R•• S••••••••• I••• BD affiliatedMar 2, 2018 to Apr 19, 2023 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedJul 1, 2016 to Feb 23, 2018 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 5, 2015 to Jun 16, 2016 · Great Neck, Ny
- R•• S••••••••• I••• to R•• R•••••••• L••left Apr 19, 2023, registered Apr 17, 2023 (-2 days) · RIA to affiliated broker-dealer or bank
- H••• S••••••••• •••• I••• to R•• S••••••••• I•••left Feb 23, 2018, registered Mar 2, 2018 (7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H••• S••••••••• •••• I•••left Jun 16, 2016, registered Jul 1, 2016 (15 days) · Other
- Ricardo Kong left Rbc Securities, Inc. for Rbc Rochdale, Llc (registered 2023-04-17)Apr 19, 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address