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•••••••• E•••••••• F• D••••
- R••••••••• A••••••• independent RIA currentsince Jan 26, 2026 · Wilmington, De
- C••••••••• F•••••••• N•••••• national BDMar 4, 2019 to Jan 29, 2021 · Wilmington, De
- R•• C•••••• M••••••• L•• national BDApr 23, 2018 to Feb 12, 2019 · Chadds Ford, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 28, 2015 to Aug 25, 2016 · Wilmington, De
- C••••••••• F•••••••• N•••••• to R••••••••• A•••••••left Jan 29, 2021, registered Jan 26, 2026 (1823 days) · Affiliated broker-dealer or bank to independent RIA
- R•• C•••••• M••••••• L•• to C••••••••• F•••••••• N••••••left Feb 12, 2019, registered Mar 4, 2019 (20 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Aug 25, 2016, registered Apr 23, 2018 (606 days) · Wirehouse to affiliated broker-dealer or bank
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address