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.
B•••• M• C•••••••
- K•• I••••••••• S••••••• L•• BD affiliated currentsince Mar 31, 2023 · Brooklyn, Oh
- L•• F•••••••• L•• BD affiliatedNov 4, 2022 to Apr 6, 2023 · Manilus, Ny
- C••••••• S••••••••• I••• BD affiliatedApr 3, 2018 to Nov 3, 2022 · Cicero, Ny
- L•• F•••••••• L•• to K•• I••••••••• S••••••• L••left Apr 6, 2023, registered Mar 31, 2023 (-6 days) · Affiliated broker-dealer or bank to another
- C••••••• S••••••••• I••• to L•• F•••••••• L••left Nov 3, 2022, registered Nov 4, 2022 (1 days) · Affiliated broker-dealer or bank to independent RIA
- B•••• M• C••••••• left L•• F•••••••• L•• for K•• I••••••••• S••••••• L•• (registered 2023-03-31)Apr 6, 2023 · Advisor changed firm · fact
- B•••• M• C••••••• left C••••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2022-11-04)Nov 3, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address