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•••••• K••••
- L••• independent RIA currentsince Feb 26, 2024 · Los Angeles, Ca
- M••••• S•••••• wirehouseSep 5, 2023 to Dec 22, 2023 · Chicago, Il
- E•••••• C•••••• M••••••••• L•• formerDec 1, 2020 to Sep 5, 2023 · Arlington, Va
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 8, 2020 to Nov 17, 2020 · Geneva, Il
- M••••• S•••••• to L•••left Dec 22, 2023, registered Feb 26, 2024 (66 days) · Wirehouse to independent RIA
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- F••••••• P••••••• A•• W•••••••• A••••••• to E•••••• C•••••• M••••••••• L••left Nov 17, 2020, registered Dec 1, 2020 (14 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• K•••• left M••••• S•••••• for Lido (registered 2024-02-26)Dec 22, 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
- Independent wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address