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•••••••• D••• K•••••••
- N••••••••• I••••••••• A•••••••• L•• BD affiliated currentsince May 9, 2022 · Columbus, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 12, 2021 to Apr 13, 2022 · Greenwood Village, Co
- M••••••••• R••••••••• BD affiliatedJul 29, 2019 to Jul 9, 2021 · Washington, Dc
- F••••••• P••••••• A•• W•••••••• A••••••• to N••••••••• I••••••••• A•••••••• L••left Apr 13, 2022, registered May 9, 2022 (26 days) · Affiliated broker-dealer or bank to another
- M••••••••• R••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 9, 2021, registered Oct 12, 2021 (95 days) · Other
- K•••••••• D••• K••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for N••••••••• I••••••••• A•••••••• L•• (registered 2022-05-09)Apr 13, 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address