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•••••••• O•••••••• L•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Apr 9, 2021 · Rensselaer, Ny
- R••••••• C••••• A••••••• S••••••• formerJan 9, 2015 to Dec 8, 2015 · Rensselaer, Ny
- R••••••• C••••• A••••••• S••••••• formerJun 25, 2012 to Dec 31, 2014 · Rensselaer, Ny
- E••••• J•••• national BDAug 30, 2010 to Jun 22, 2012 · St Louis, Mo
- R••••••• C••••• A••••••• S••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 8, 2015, registered Apr 9, 2021 (1949 days) · Other
- E••••• J•••• to R••••••• C••••• A••••••• S•••••••left Jun 22, 2012, registered Jun 25, 2012 (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