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••••• B••••••• L••••
- O••• L•••• F•••••••• G•••• independent RIA currentsince Dec 2, 2024 · Elizabethtown, Ky
- P•••••• C••••• S•••••••• L•• BD affiliatedOct 17, 2017 to Nov 9, 2020 · Elizabethtown, Ky
- P•••••• A•••••• G••••• L•• BD affiliatedJun 9, 2014 to Sep 18, 2017 · Elizabethtown, Ky
- L•• F•••••••• L•• BD affiliatedJan 7, 1999 to Nov 2, 2015 · Elizabethtown, Ky
- P•••••• C••••• S•••••••• L•• to O••• L•••• F•••••••• G••••left Nov 9, 2020, registered Dec 2, 2024 (1484 days) · RIA to RIA
- P•••••• A•••••• G••••• L•• to P•••••• C••••• S•••••••• L••left Sep 18, 2017, registered Oct 17, 2017 (29 days) · Other
- L•• F•••••••• L•• to P•••••• A•••••• G••••• L••left Nov 2, 2015, registered Jun 9, 2014 (-511 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address