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.
B•• M•••• K••
- L•• E••••••••• L•• BD affiliated currentsince Feb 14, 2025 · Mercer Island, Wa
- E•••••••• A•••••••• L•• national BDNov 27, 2024 to Dec 16, 2024 · Greenwood Village, Co
- L••••••• S••••••••• C•••• BD affiliatedJan 3, 2024 to Sep 26, 2024 · Rochester, Ny
- E•••••••• A•••••••• L•• to L•• E••••••••• L••left Dec 16, 2024, registered Feb 14, 2025 (60 days) · Affiliated broker-dealer or bank to a newly registered adviser
- L••••••• S••••••••• C•••• to E•••••••• A•••••••• L••left Sep 26, 2024, registered Nov 27, 2024 (62 days) · Affiliated broker-dealer or bank to another
- B•• M•••• K•• left E•••••••• A•••••••• L•• for L•• E••••••••• L•• (registered 2025-02-14)Dec 16, 2024 · Advisor changed firm · fact
- B•• M•••• K•• left L••••••• S••••••••• C•••• for E•••••••• A•••••••• L•• (registered 2024-11-27)Sep 26, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address