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.
K••• M•••••• D••••
- F••••• I••••••••• independent RIA currentsince Jul 26, 2021 · Plano, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Jul 19, 2021 · Boston, Ma
- S•••••••• A••••••• L•• national BDMar 2, 2018 to Jul 13, 2018 · Orland Park, Il
- M••••• L•• independent RIANov 13, 2014 to Feb 15, 2018 · Chicago, Il
- V••• F•••••••• A•••••••• I••• BD affiliatedSep 15, 2014 to Oct 3, 2014 · Chicago, Il
- F••••••• P••••••• A•• W•••••••• A••••••• to F••••• I•••••••••left Jul 19, 2021, registered Jul 26, 2021 (7 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- M••••• L•• to S•••••••• A••••••• L••left Feb 15, 2018, registered Mar 2, 2018 (15 days) · Other
- V••• F•••••••• A•••••••• I••• to M••••• L••left Oct 3, 2014, registered Nov 13, 2014 (41 days) · corporate re-registration, not a move
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