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.
N••••••• K•••••••
- S•••••• F•••••••• G••••• L••••• independent RIA currentsince Apr 1, 2025 · Akron, Oh
- C•••••• C•••••• M••••••••• L•• formerJan 28, 2020 to May 15, 2025 · Rochester, Mn
- E••••• J•••• national BDAug 30, 2013 to Jan 21, 2020 · St. Louis, Mo
- C•••••• C•••••• M••••••••• L•• to S•••••• F•••••••• G••••• L•••••left May 15, 2025, registered Apr 1, 2025 (-44 days) · corporate re-registration, not a move
- E••••• J•••• to C•••••• C•••••• M••••••••• L••left Jan 21, 2020, registered Jan 28, 2020 (7 days) · Affiliated broker-dealer or bank to independent RIA
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address