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.
- S•• W••••• independent RIA currentsince Jan 2, 2024 · Durham, Nc
- H•••••• T••••••• • K•••• L•• independent RIAMay 12, 2022 to Sep 1, 2022 · Pittsburgh, Pa
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 4, 2018 to Feb 4, 2022 · Pittsburgh, Pa
- H•••••• T••••••• • K•••• L•• to S•• W•••••left Sep 1, 2022, registered Jan 2, 2024 (488 days) · Affiliated broker-dealer or bank to a newly registered adviser
- M•• I•••••••• S•••••••• L•• to H•••••• T••••••• • K•••• L••left Feb 4, 2022, registered May 12, 2022 (97 days) · Affiliated broker-dealer or bank to another
- B••••••• J••••• L•••••• left H•••••• T••••••• • K•••• L•• for S•• W••••• (registered 2024-01-02)Sep 1, 2022 · Advisor changed firm · fact
- B••••••• J••••• L•••••• left M•• I•••••••• S•••••••• L•• for H•••••• T••••••• • K•••• L•• (registered 2022-05-12)Feb 4, 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address