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••••• S•••••••
- V•••••••• L•• state registered currentsince Jun 3, 2021 · Orlando, Fl
- G•• S••••••••• I••• BD affiliatedNov 21, 2019 to May 19, 2021 · Lake Mary, Fl
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 21, 2017 to Nov 26, 2019 · Tampa, Fl
- G•• S••••••••• I••• to V•••••••• L••left May 19, 2021, registered Jun 3, 2021 (15 days) · Affiliated broker-dealer or bank to a state-registered adviser
- V••• F•••••••• A•••••••• I••• to G•• S••••••••• I•••left Nov 26, 2019, registered Nov 21, 2019 (-5 days) · Affiliated broker-dealer or bank to another
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
- STATE REGISTEREDderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address