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.
R••••• M• K••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Jun 26, 2025 · Short Hills, Nj
- U•• F•••••••• S••••••• I••• wirehouseFeb 21, 2018 to Jul 24, 2025 · Short Hills, Nj
- E••••• J•••• national BDDec 19, 2016 to Dec 4, 2017 · Scotch Plains, Nj
- U•• F•••••••• S••••••• I••• to J••••• M••••••••• S•••• L••left Jul 24, 2025, registered Jun 26, 2025 (-28 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- E••••• J•••• to U•• F•••••••• S••••••• I•••left Dec 4, 2017, registered Feb 21, 2018 (79 days) · Affiliated broker-dealer or bank to wirehouse
- Regina M Kelly left Ubs Financial Services Inc. for Janney Montgomery Scott Llc (registered 2025-06-26)Jul 24, 2025 · 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