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•••• E••••• D•••••
- K••••• W•••••• L•• independent RIA currentsince Mar 17, 2026 · Greenville, Ri
- C••••••••• F•••••••• N•••••• national BDNov 15, 2024 to Mar 4, 2026 · Greenville, Ri
- E••••• J•••• national BDApr 28, 2014 to Nov 19, 2024 · St Louis, Mo
- C••••••••• F•••••••• N•••••• to K••••• W•••••• L••left Mar 4, 2026, registered Mar 17, 2026 (13 days) · Affiliated broker-dealer or bank to independent RIA
- E••••• J•••• to C••••••••• F•••••••• N••••••left Nov 19, 2024, registered Nov 15, 2024 (-4 days) · Affiliated broker-dealer or bank to another
- D•••• E••••• D••••• left C••••••••• F•••••••• N•••••• for K••••• W•••••• L•• (registered 2026-03-17)Mar 4, 2026 · Advisor changed firm · fact
- D•••• E••••• D••••• left E••••• J•••• for C••••••••• F•••••••• N•••••• (registered 2024-11-15)Nov 19, 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address