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.
D••••• A••• M•••••••
- M••••••• W••••• A••••••• independent RIA currentsince Jan 23, 2017 · Louisville, Ky
- G••••• F•••••••• P•••••• C••••••• I••• formerJul 26, 2011 to Jun 1, 2017 · Louisville, Ky
- F•••• A••••• A••••••• S•••••••• I••• formerJan 3, 2007 to Aug 9, 2011 · Chesterfield, Mo
- F•• A••••••• S••••••• I•• unclassifiedJun 7, 2006 to Jan 3, 2007 · Louisville, Ky
- F•• S••••••••• C••••••••• formerOct 28, 2003 to Jun 2, 2006 · Louisville, Ky
- I••••••••• A••••••• S••••••• I•• formerOct 8, 2002 to Nov 24, 2003 · Louisville, Ky
- L•• F•••••••• L•• BD affiliatedMar 19, 2002 to Sep 27, 2002 · Louisville, Ky
- G••••• F•••••••• P•••••• C••••••• I••• to M••••••• W••••• A•••••••left Jun 1, 2017, registered Jan 23, 2017 (-129 days) · Other
- F•••• A••••• A••••••• S•••••••• I••• to G••••• F•••••••• P•••••• C••••••• I•••left Aug 9, 2011, registered Jul 26, 2011 (-14 days) · Other
- F•• A••••••• S••••••• I•• to F•••• A••••• A••••••• S•••••••• I•••left Jan 3, 2007, registered Jan 3, 2007 (0 days) · corporate re-registration, not a move
- F•• S••••••••• C••••••••• to F•• A••••••• S••••••• I••left Jun 2, 2006, registered Jun 7, 2006 (5 days) · Other
- I••••••••• A••••••• S••••••• I•• to F•• S••••••••• C•••••••••left Nov 24, 2003, registered Oct 28, 2003 (-27 days) · Other
- L•• F•••••••• L•• to I••••••••• A••••••• S••••••• I••left Sep 27, 2002, registered Oct 8, 2002 (11 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address