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.
M•••••• E•••••• K•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 2, 2022 · Rockville, Md
- W••••••• F•••••••• S•••••••• I••• formerJul 11, 2018 to Jun 6, 2022 · Rockville, Md
- C•••••• O•• A•••••••• L•• formerJan 28, 2015 to Jul 11, 2018 · Rockville, Md
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedApr 10, 2014 to Jan 28, 2015 · Melville, Ny
- W••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Jun 6, 2022, registered Jun 2, 2022 (-4 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- C•••••• O•• A•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Jul 11, 2018, registered Jul 11, 2018 (0 days) · corporate re-registration, not a move
- C•••••• O•• F•••••••• A••••••• L•• to C•••••• O•• A•••••••• L••left Jan 28, 2015, registered Jan 28, 2015 (0 days) · corporate re-registration, not a move
- M•••••• E•••••• K••••••• left W••••••• F•••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2022-06-02)Jun 6, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address