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.
V••• K•••••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Mar 26, 2025 · New York, Ny
- E•••••••• A•••• M••••••••• L•• independent RIANov 1, 2024 to Apr 14, 2025 · New York, Ny
- M••••• S•••••• wirehouseOct 2, 2020 to Feb 23, 2024 · New York, Ny
- E•••••••• A•••• M••••••••• L•• to R•••••• J•••• • A••••••••• I•••left Apr 14, 2025, registered Mar 26, 2025 (-19 days) · RIA to affiliated broker-dealer or bank
- M••••• S•••••• to E•••••••• A•••• M••••••••• L••left Feb 23, 2024, registered Nov 1, 2024 (252 days) · Wirehouse to independent RIA
- V••• K••••••••• left E•••••••• A•••• M••••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2025-03-26)Apr 14, 2025 · Advisor changed firm · fact
- V••• K••••••••• left M••••• S•••••• for E•••••••• A•••• M••••••••• L•• (registered 2024-11-01)Feb 23, 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
- 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