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.
J••• M• K••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Feb 20, 2025 · Greensboro, Nc
- C•••••••• F•••••••• G•••• A••••••• formerApr 17, 2023 to Feb 20, 2025 · Greensboro, Nc
- E•••••••• A•••••••• L•• national BDOct 27, 2022 to Nov 23, 2022 · Raleigh, Nc
- C•••••••• F•••••••• G•••• A••••••• to C••••• I••••••••• A••••••• L••left Feb 20, 2025, registered Feb 20, 2025 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to C•••••••• F•••••••• G•••• A•••••••left Nov 23, 2022, registered Apr 17, 2023 (145 days) · Affiliated broker-dealer or bank to another
- John M Katon left Equitable Advisors, Llc for Concourse Financial Group Advisors (registered 2023-04-17)Nov 23, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address