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••• J••• J•••••••
- F•••• K••••••• S••••••••• C••• independent RIA currentsince Nov 30, 2015 · Louisville, Ky
- U••• B•••••• I••••••••• I••• formerJul 13, 2010 to Nov 3, 2015 · Louisville, Ky
- P•• W••••• M••••••••• BD affiliatedJan 1, 2004 to Jul 8, 2010 · Louisville, Ky
- J••••• H•••••••• W••• L••••• L•• formerJun 6, 2003 to Jan 1, 2004 · Louisville, Ky
- U••• B•••••• I••••••••• I••• to F•••• K••••••• S••••••••• C•••left Nov 3, 2015, registered Nov 30, 2015 (27 days) · Other
- P•• W••••• M••••••••• to U••• B•••••• I••••••••• I•••left Jul 8, 2010, registered Jul 13, 2010 (5 days) · Other
- J••••• H•••••••• W••• L••••• L•• to P•• W••••• M•••••••••left Jan 1, 2004, registered Jan 1, 2004 (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
- Independent wealth managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address