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•••• R•••• A••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Mar 31, 2022 · New York, Ny
- R••••• W• B•••• • C•• I••••••••• mixed wealthOct 18, 2019 to Mar 10, 2022 · Evansville, In
- J••••• H•••••••• W••• L••••• L•• formerSep 27, 2018 to Oct 18, 2019 · Evansville, In
- R••••• W• B•••• • C•• I••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 10, 2022, registered Mar 31, 2022 (21 days) · RIA to wirehouse
- J••••• H•••••••• W••• L••••• L•• to R••••• W• B•••• • C•• I•••••••••left Oct 18, 2019, registered Oct 18, 2019 (0 days) · corporate re-registration, not a move
- K•••• R•••• A•••• left R••••• W• B•••• • C•• I••••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-03-31)Mar 10, 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
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address