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.
F•••• P• B••••
- K••••• A•••••••• I••• BD affiliated currentsince Aug 6, 2021 · Ft. Lauderdale, Fl
- C••••••• • C••• I••• formerJul 26, 2013 to Aug 13, 2021 · Southbury, Ct
- W•••• F•••• A••••••• wirehouseJul 5, 2010 to Jul 29, 2013 · Westport, Ct
- C••••••• • C••• I••• to K••••• A•••••••• I•••left Aug 13, 2021, registered Aug 6, 2021 (-7 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to C••••••• • C••• I•••left Jul 29, 2013, registered Jul 26, 2013 (-3 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address