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••• L•• state registered currentsince Feb 24, 2025 · Green Bank, Wv
- K••••• A••••••• S•••••••• L•• BD affiliatedJun 25, 2022 to Nov 7, 2024 · Austin, Tx
- M••••• S•••••• wirehouseJun 23, 2020 to Mar 17, 2022 · Savannah, Ga
- K••••• A••••••• S•••••••• L•• to A••• L••left Nov 7, 2024, registered Feb 24, 2025 (109 days) · Affiliated broker-dealer or bank to a state-registered adviser
- M••••• S•••••• to K••••• A••••••• S•••••••• L••left Mar 17, 2022, registered Jun 25, 2022 (100 days) · Wirehouse to affiliated broker-dealer or bank
- H•••• E•••• G•••• left K••••• A••••••• S•••••••• L•• for A••• L•• (registered 2025-02-24)Nov 7, 2024 · Advisor changed firm · fact
- H•••• E•••• G•••• left M••••• S•••••• for K••••• A••••••• S•••••••• L•• (registered 2022-06-25)Mar 17, 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address