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••• L•••••••
- I•• • C•• state registered currentsince Jan 27, 2025 · South Glastonbury, Ct
- C••••••• S••••••••• I••• BD affiliatedSep 7, 2022 to Jan 8, 2024 · Ludlow, Ma
- C••••••••• F•••••••• N•••••• national BDFeb 12, 2020 to Feb 15, 2022 · Glastonbury, Ct
- C••••••• S••••••••• I••• to I•• • C••left Jan 8, 2024, registered Jan 27, 2025 (385 days) · Affiliated broker-dealer or bank to a state-registered adviser
- C••••••••• F•••••••• N•••••• to C••••••• S••••••••• I•••left Feb 15, 2022, registered Sep 7, 2022 (204 days) · Affiliated broker-dealer or bank to another
- K••• L••••••• left C••••••• S••••••••• I••• for I•• • C•• (registered 2025-01-27)Jan 8, 2024 · Advisor changed firm · fact
- K••• L••••••• left C••••••••• F•••••••• N•••••• for C••••••• S••••••••• I••• (registered 2022-09-07)Feb 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
- STATE REGISTEREDderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address