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••• B••••• M•••••
- C•••••• I••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Oct 29, 2021 · Raleigh, Nc
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliatedFeb 2, 2015 to Oct 8, 2019 · Raleigh, Nc
- E•••••••• A•••••••• L•• national BDFeb 7, 2011 to Feb 26, 2013 · Raleigh, Nc
- F•••• C••••••• I••••••• S•••••••• I••• to C•••••• I••••••••• A••••••• S•••••••• L••left Oct 8, 2019, registered Oct 29, 2021 (752 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to F•••• C••••••• I••••••• S•••••••• I•••left Feb 26, 2013, registered Feb 2, 2015 (706 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address