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.
- M••••• S•••••• wirehouse currentsince Jun 3, 2024 · Louisville, Ky
- M••••• S•••••• wirehouseMar 5, 2021 to Aug 10, 2022 · Louisville, Ky
- W•••• F•••• A••••••• wirehouseNov 19, 2010 to Mar 15, 2021 · Louisville, Ky
- J••••• H•••••••• W••• L••••• L•• formerJan 7, 2004 to Nov 23, 2010 · Louisville, Ky
- W•••• F•••• A••••••• to M••••• S••••••left Mar 15, 2021, registered Mar 5, 2021 (-10 days) · Wirehouse to wirehouse · moved with a team
- J••••• H•••••••• W••• L••••• L•• to W•••• F•••• A•••••••left Nov 23, 2010, registered Nov 19, 2010 (-4 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
- Wirehousederived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address