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.
J•••• L•••••••
- K•• I••••••••• S••••••• L•• BD affiliated currentsince Feb 10, 2025 · Rochester, Ny
- L•• F•••••••• L•• BD affiliatedFeb 23, 2023 to Feb 20, 2025 · Hilton, Ny
- F•••• T•••• S••••••••• I••• BD affiliatedSep 11, 2019 to Mar 6, 2023 · Cornelius, Nc
- L•• F•••••••• L•• to K•• I••••••••• S••••••• L••left Feb 20, 2025, registered Feb 10, 2025 (-10 days) · Affiliated broker-dealer or bank to another
- F•••• T•••• S••••••••• I••• to L•• F•••••••• L••left Mar 6, 2023, registered Feb 23, 2023 (-11 days) · Affiliated broker-dealer or bank to independent RIA
- J•••• L••••••• left L•• F•••••••• L•• for K•• I••••••••• S••••••• L•• (registered 2025-02-10)Feb 20, 2025 · Advisor changed firm · fact
- J•••• L••••••• left F•••• T•••• S••••••••• I••• for L•• F•••••••• L•• (registered 2023-02-23)Mar 6, 2023 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address