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.
R•••• P• S••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Feb 13, 2013 · Lexington, Ky
- M••••• K••••• • C••••••• L•• formerAug 7, 2008 to Feb 13, 2013 · Lexington, Ky
- J••• M••••• S••••••••• I••• unclassifiedSep 27, 2006 to Aug 7, 2008 · Lexington, Ky
- B••• O•• S••••••••• C••••••••• unclassifiedOct 20, 2004 to Sep 27, 2006 · Lexington, Ky
- J••••• H•••••••• W••• L••••• L•• formerJan 7, 2004 to Oct 22, 2004 · Lexington, Ky
- 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
- J••• M••••• S••••••••• I••• to M••••• K••••• • C••••••• L••left Aug 7, 2008, registered Aug 7, 2008 (0 days) · Other
- B••• O•• S••••••••• C••••••••• to J••• M••••• S••••••••• I•••left Sep 27, 2006, registered Sep 27, 2006 (0 days) · corporate re-registration, not a move
- J••••• H•••••••• W••• L••••• L•• to B••• O•• S••••••••• C•••••••••left Oct 22, 2004, registered Oct 20, 2004 (-2 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
- National broker-dealer RIAderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address