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.
R••••• K••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Oct 17, 2024 · Tallahassee, Fl
- N••• F•••••••• G••••• I••• formerJun 19, 2018 to Oct 18, 2024 · Tallahassee, Fl
- E•• A••••••• S•••••••• I•• independent RIAJan 9, 2018 to Jul 11, 2018 · Southfield, Mi
- S•• I••••••••• I••• formerFeb 10, 2009 to Dec 15, 2017 · Tallahassee, Fl
- S••••••••• A•••••• A•••••••• I••• formerDec 4, 2007 to Feb 24, 2009 · Tallahassee, Fl
- I•••••••• C•••••• A••••••• formerJan 3, 2005 to Dec 12, 2007 · Tallahassee, Fl
- E•••••• P•••• A••••••• I••• unclassifiedJan 14, 2003 to Dec 31, 2004 · Tallahassee, Fl
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedFeb 16, 1994 to Dec 31, 2002 · Tallahassee, Fl
- N••• F•••••••• G••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 18, 2024, registered Oct 17, 2024 (-1 days) · Affiliated broker-dealer or bank to another
- E•• A••••••• S•••••••• I•• to N••• F•••••••• G••••• I•••left Jul 11, 2018, registered Jun 19, 2018 (-22 days) · RIA to RIA
- S•• I••••••••• I••• to E•• A••••••• S•••••••• I••left Dec 15, 2017, registered Jan 9, 2018 (25 days) · Affiliated broker-dealer or bank to independent RIA
- S••••••••• A•••••• A•••••••• I••• to S•• I••••••••• I•••left Feb 24, 2009, registered Feb 10, 2009 (-14 days) · Other
- I•••••••• C•••••• A••••••• to S••••••••• A•••••• A•••••••• I•••left Dec 12, 2007, registered Dec 4, 2007 (-8 days) · Other
- E•••••• P•••• A••••••• I••• to I•••••••• C•••••• A•••••••left Dec 31, 2004, registered Jan 3, 2005 (3 days) · corporate re-registration, not a move
- T••••••••• F•••••••• A•••••••• L•• to E•••••• P•••• A••••••• I•••left Dec 31, 2002, registered Jan 14, 2003 (14 days) · Other
- R••••• K•••• left N••• F•••••••• G••••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2024-10-17)Oct 18, 2024 · 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address