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•••••• E• T••••
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Gainesville, Fl
- C••• F•••••••• S•••••••• L••• formerFeb 10, 2021 to May 15, 2025 · San Diego, Ca
- S••• I••••••••• C•••••• independent RIAJul 11, 2011 to Feb 11, 2021 · San Antonio, Tx
- W•••• F•••• A••••••• wirehouseJan 23, 2009 to Jul 11, 2011 · Ocala, Fl
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- S••• I••••••••• C•••••• to C••• F•••••••• S•••••••• L•••left Feb 11, 2021, registered Feb 10, 2021 (-1 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to S••• I••••••••• C••••••left Jul 11, 2011, registered Jul 11, 2011 (0 days) · Other
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address