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.
K•••• K•••
- W•••• F•••• A••••••• wirehouse currentsince Dec 19, 2023 · Dublin, Oh
- S••••• F••••••••• L•• BD affiliatedDec 17, 2021 to Dec 18, 2023 · Columbus, Oh
- 2••• C•••••• A•••••••• L•• unclassifiedDec 17, 2021 to Apr 15, 2022 · Columbus, Oh
- S••••• F••••••••• L•• to W•••• F•••• A•••••••left Dec 18, 2023, registered Dec 19, 2023 (1 days) · Affiliated broker-dealer or bank to wirehouse
- 2••• C•••••• A•••••••• L•• to S••••• F••••••••• L••left Apr 15, 2022, registered Dec 17, 2021 (-119 days) · Other
- K•••• K••• left S••••• F••••••••• L•• for W•••• F•••• A••••••• (registered 2023-12-19)Dec 18, 2023 · Advisor changed firm · fact
- K•••• K••• left 2••• C•••••• A•••••••• L•• for S••••• F••••••••• L•• (registered 2021-12-17)Apr 15, 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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address