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.
T•••••• C•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 6, 2024 · Edgewood, Ky
- L••• K••• • C•••••• formerMar 4, 2022 to Oct 25, 2024 · Cincinnati, Oh
- E••••• J•••• national BDMay 26, 2017 to Feb 28, 2022 · Maryland Heights, Mo
- L••• K••• • C•••••• to A••••••••• F•••••••• S•••••••• L••left Oct 25, 2024, registered Nov 6, 2024 (12 days) · RIA to affiliated broker-dealer or bank
- E••••• J•••• to L••• K••• • C••••••left Feb 28, 2022, registered Mar 4, 2022 (4 days) · Affiliated broker-dealer or bank to independent RIA
- T•••••• C••• left L••• K••• • C•••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-11-06)Oct 25, 2024 · Advisor changed firm · fact
- T•••••• C••• left E••••• J•••• for L••• K••• • C•••••• (registered 2022-03-04)Feb 28, 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
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address