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•• A••• Y•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Aug 22, 2019 · Louisville, Ky
- N••• F•••••••• G••••• I••• formerMar 3, 2016 to Aug 22, 2019 · Houston, Tx
- I••••••••• C•••••• O• A••••••• I••• formerAug 6, 2012 to Mar 3, 2016 · Bismarck, Nd
- I••••••••• P••••••••• I••• formerOct 17, 2008 to Aug 20, 2012 · Clarksville, In
- W•• A•••••••• L• formerApr 30, 2008 to Oct 15, 2008 · Louisville, Ky
- W•• A•••••••• L• formerNov 10, 2006 to Sep 7, 2007 · Louisville, Ky
- I•••••••• C•••••• A••••••• formerMay 16, 2005 to Dec 31, 2005 · Louisville, Ky
- F••••• I••••••••• independent RIAAug 1, 2001 to Apr 14, 2003 · Plano, Tx
- N••• F•••••••• G••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 22, 2019, registered Aug 22, 2019 (0 days) · Affiliated broker-dealer or bank to another
- I••••••••• C•••••• O• A••••••• I••• to N••• F•••••••• G••••• I•••left Mar 3, 2016, registered Mar 3, 2016 (0 days) · Other
- I••••••••• P••••••••• I••• to I••••••••• C•••••• O• A••••••• I•••left Aug 20, 2012, registered Aug 6, 2012 (-14 days) · Other
- W•• A•••••••• L• to I••••••••• P••••••••• I•••left Oct 15, 2008, registered Oct 17, 2008 (2 days) · Other
- I•••••••• C•••••• A••••••• to W•• A•••••••• L•left Dec 31, 2005, registered Nov 10, 2006 (314 days) · Other
- F••••• I••••••••• to I•••••••• C•••••• A•••••••left Apr 14, 2003, registered May 16, 2005 (763 days) · Other
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address