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.
A•••••••• D••••• O••••••
- K•• C••••• F•••••••• A•••••••• L•• independent RIA currentsince Jul 9, 2020 · Fairfield, Nj
- R••••• I••••••••• A•••••••• I•• BD affiliatedJul 9, 2020 to May 23, 2024 · Oradell, Nj
- W•••• F•••• A••••••• wirehouseDec 12, 2013 to Jul 6, 2020 · New York, Ny
- R••••• I••••••••• A•••••••• I•• to K•• C••••• F•••••••• A•••••••• L••left May 23, 2024, registered Jul 9, 2020 (-1414 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to R••••• I••••••••• A•••••••• I••left Jul 6, 2020, registered Jul 9, 2020 (3 days) · Wirehouse to affiliated broker-dealer or bank
- A•••••••• D••••• O•••••• left R••••• I••••••••• A•••••••• I•• for K•• C••••• F•••••••• A•••••••• L•• (registered 2020-07-09)May 23, 2024 · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address