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•••••• L•• E••••••
- S•••••• S••••••••• BD affiliated currentsince Sep 20, 2019 · Lexington, Ky
- L•••••••• I••••••••• C••••••• I••• unclassifiedMar 31, 2011 to Jan 8, 2019 · L••••••••, Ky
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Aug 11, 2005 · L••••••••, Ky
- B••• O•• S••••••••• C••••••••• unclassifiedDec 16, 1991 to Jul 6, 2005 · L••••••••, Ky
- L•••••••• I••••••••• C••••••• I••• to S•••••• S•••••••••left Jan 8, 2019, registered Sep 20, 2019 (255 days) · Other · moved with a team
- C•••• I••••••••• S••••••• C•••• to L•••••••• I••••••••• C••••••• I•••left Aug 11, 2005, registered Mar 31, 2011 (2058 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address