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.
W•••••• A••••• K•••••
- E•• F•••••••• A••••••• independent RIA currentsince Oct 6, 2020 · Roanoke, Va
- H•••••• T••••••• • K•••• L•• independent RIAJun 4, 2015 to Apr 20, 2020 · Mechanicsville, Va
- F•••• C•••••• F•••••••• P•••••••• I••• formerJul 17, 2012 to Dec 18, 2014 · Colonial Heights, Va
- H•••••• T••••••• • K•••• L•• to E•• F•••••••• A•••••••left Apr 20, 2020, registered Oct 6, 2020 (169 days) · Affiliated broker-dealer or bank to another
- F•••• C•••••• F•••••••• P•••••••• I••• to H•••••• T••••••• • K•••• L••left Dec 18, 2014, registered Jun 4, 2015 (168 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
- Independent wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address