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.
G•••••• L•• H••••••
- I••••••••• F•••••••• P••••••• BD affiliated currentsince Dec 20, 2013 · Lexington, Ky
- R•••••• C•••••• M••••••••• L•• i••••••••• wealthNov 17, 2009 to Jan 14, 2014
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 7, 2009 · Lexington, Ky
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 16, 2000 to Jun 1, 2009 · Lexington, Ky
- R•••••• C•••••• M••••••••• L•• to I••••••••• F•••••••• P•••••••left Jan 14, 2014, registered Dec 20, 2013 (-25 days) · Other
- M••••• S•••••• to R•••••• C•••••• M••••••••• L••left Dec 7, 2009, registered Nov 17, 2009 (-20 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address