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.
S••••• P••• L••
- H•••••••• P••••••• P••••••• independent RIA currentsince Feb 28, 2022 · Downers Grove, Il
- K••••• A•••••••• I••• BD affiliatedOct 17, 2018 to Feb 18, 2022 · Glenview, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 30, 2014 to Jun 13, 2018 · Oakland, Ca
- K••••• A•••••••• I••• to H•••••••• P••••••• P•••••••left Feb 18, 2022, registered Feb 28, 2022 (10 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to K••••• A•••••••• I•••left Jun 13, 2018, registered Oct 17, 2018 (126 days) · Wirehouse to affiliated broker-dealer or bank
- Samuel Paul Lee left Kovack Advisors, Inc. for Highpoint Planning Partners (registered 2022-02-28)Feb 18, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address