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.
P•••• J•••• C•••••
- L•••••• I••••••••• independent RIA currentsince Sep 22, 2014 · Fort Washington, Pa
- A••••••• F•••••••• A•••••••• L•• BD affiliatedSep 6, 2012 to Sep 16, 2014 · Florence, Ky
- F•••• T•••• S••••••••• I••• BD affiliatedJun 7, 2012 to Aug 16, 2012 · Milford, Oh
- A••••••• F•••••••• A•••••••• L•• BD affiliatedSep 19, 2011 to May 29, 2012 · Florence, Ky
- L•••••• I••••••••• independent RIAAug 2, 2010 to Sep 21, 2011 · Scottsdale, Az
- G•••• A••••••• A•••••••• I••• formerNov 22, 2004 to Aug 2, 2010 · Edgewood, Ky
- O•••• F•• I••• formerJul 19, 2002 to Feb 27, 2004 · Covington, Ky
- A••••••• F•••••••• A•••••••• L•• to L•••••• I•••••••••left Sep 16, 2014, registered Sep 22, 2014 (6 days) · Other
- F•••• T•••• S••••••••• I••• to A••••••• F•••••••• A•••••••• L••left Aug 16, 2012, registered Sep 6, 2012 (21 days) · Other
- A••••••• F•••••••• A•••••••• L•• to F•••• T•••• S••••••••• I•••left May 29, 2012, registered Jun 7, 2012 (9 days) · Other
- L•••••• I••••••••• to A••••••• F•••••••• A•••••••• L••left Sep 21, 2011, registered Sep 19, 2011 (-2 days) · Other
- G•••• A••••••• A•••••••• I••• to L•••••• I•••••••••left Aug 2, 2010, registered Aug 2, 2010 (0 days) · corporate re-registration, not a move
- O•••• F•• I••• to G•••• A••••••• A•••••••• I•••left Feb 27, 2004, registered Nov 22, 2004 (269 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
- Independent wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address