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••••••• K••••••• E••••••
- F•••• I••••••••• S••••••• BD affiliated currentsince Jun 7, 2023 · Addison, Tx
- C••••••• S••••••••• I••• BD affiliatedJun 17, 2022 to Jun 9, 2023 · Syracuse, Ny
- W•••• F•••• A••••••• wirehouseAug 6, 2018 to Jun 15, 2022 · Hurst, Tx
- C••••••• S••••••••• I••• to F•••• I••••••••• S•••••••left Jun 9, 2023, registered Jun 7, 2023 (-2 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to C••••••• S••••••••• I•••left Jun 15, 2022, registered Jun 17, 2022 (2 days) · Wirehouse to affiliated broker-dealer or bank
- K••••••• K••••••• E•••••• left C••••••• S••••••••• I••• for F•••• I••••••••• S••••••• (registered 2023-06-07)Jun 9, 2023 · Advisor changed firm · fact
- K••••••• K••••••• E•••••• left W•••• F•••• A••••••• for C••••••• S••••••••• I••• (registered 2022-06-17)Jun 15, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address