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•••• G••••••
- R••••••••• P••••••• S••••••••• L•• independent RIA currentsince May 23, 2022 · Louisville, Ky
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Apr 28, 2022 · Covington, Ky
- M••••• K••••• • C••••••• L•• formerNov 9, 2007 to Feb 13, 2013 · Covington, Ky
- U•• F•••••••• S••••••• I••• wirehouseNov 12, 2004 to Nov 14, 2007 · Cincinnati, Oh
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 7, 1999 to Nov 19, 2004 · Cincinnati, Oh
- R•••••• J•••• • A••••••••• I••• to R••••••••• P••••••• S••••••••• L••left Apr 28, 2022, registered May 23, 2022 (25 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• K••••• • C••••••• L••left Nov 14, 2007, registered Nov 9, 2007 (-5 days) · Other
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Nov 19, 2004, registered Nov 12, 2004 (-7 days) · Other
- P•••• J•••• G•••••• left R•••••• J•••• • A••••••••• I••• for R••••••••• P••••••• S••••••••• L•• (registered 2022-05-23)Apr 28, 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
- Independent wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address