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.
D••• M•••••• K••••••
- W•••• F•••• A••••••• wirehouse currentsince Oct 15, 2025 · Glendale, Az
- S••• BD affiliatedAug 29, 2023 to Sep 18, 2025 · Los Angeles, Ca
- C•••••• S••••• • C••• I••• national BDFeb 22, 2017 to Jul 26, 2023 · Phoenix, Az
- W•••••• • R••• formerNov 11, 2016 to Nov 28, 2016 · Las Vegas, Nv
- S••• to W•••• F•••• A•••••••left Sep 18, 2025, registered Oct 15, 2025 (27 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••• S••••• • C••• I••• to S•••left Jul 26, 2023, registered Aug 29, 2023 (34 days) · Affiliated broker-dealer or bank to another
- W•••••• • R••• to C•••••• S••••• • C••• I•••left Nov 28, 2016, registered Feb 22, 2017 (86 days) · Other
- D••• M•••••• K•••••• left Seia for W•••• F•••• A••••••• (registered 2025-10-15)Sep 18, 2025 · Advisor changed firm · fact
- D••• M•••••• K•••••• left C•••••• S••••• • C••• I••• for Seia (registered 2023-08-29)Jul 26, 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
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address