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.
D••••• J••••• K•••••
- C••••••••• F•••••••• N•••••• national BD currentsince Jul 21, 2023 · Oakmont, Pa
- C••••••• S••••••••• I••• BD affiliatedJan 3, 2017 to Jul 31, 2023 · Monroeville, Pa
- K•• I••••••••• S••••••• L•• BD affiliatedSep 21, 2016 to Jan 3, 2017 · Columbus, Oh
- L•• F•••••••• L•• BD affiliatedJul 14, 2015 to Sep 21, 2016 · San Diego, Ca
- C••••••• S••••••••• I••• BD affiliatedAug 6, 2014 to Jul 14, 2015 · Allison Park, Pa
- C••••••• S••••••••• I••• to C••••••••• F•••••••• N••••••left Jul 31, 2023, registered Jul 21, 2023 (-10 days) · Affiliated broker-dealer or bank to another · moved with a team
- K•• I••••••••• S••••••• L•• to C••••••• S••••••••• I•••left Jan 3, 2017, registered Jan 3, 2017 (0 days) · Other · moved with a team
- L•• F•••••••• L•• to K•• I••••••••• S••••••• L••left Sep 21, 2016, registered Sep 21, 2016 (0 days) · Other · moved with a team
- C••••••• S••••••••• I••• to L•• F•••••••• L••left Jul 14, 2015, registered Jul 14, 2015 (0 days) · Other
- D••••• J••••• K••••• left C••••••• S••••••••• I••• for C••••••••• F•••••••• N•••••• (registered 2023-07-21)Jul 31, 2023 · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address