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.
A••• K•••••• C•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 17, 2026 · Frisco, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 15, 2020 to Aug 3, 2026 · New York, Ny
- F•••• T•••• S••••••••• I••• BD affiliatedFeb 18, 2020 to Mar 6, 2020 · Nashville, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Aug 3, 2026, registered Jul 17, 2026 (-17 days) · Wirehouse to affiliated broker-dealer or bank
- F•••• T•••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 6, 2020, registered Jun 15, 2020 (101 days) · Affiliated broker-dealer or bank to wirehouse
- A••• K•••••• C••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2026-07-17)Aug 3, 2026 · 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address