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••••• W••••••• W••••
- A••••••• C•••••• M••••••••• I••• state registered currentsince Nov 19, 2013 · New Albany, In
- A••••••• P••••••••• A•••••••• I•• formerJun 14, 2010 to Nov 19, 2013 · Holbrook, Ny
- M•••• C••••••• A••••••• S•••••• BD affiliatedJul 20, 2004 to May 21, 2010 · Louisville, Ky
- O•• C•••••• A••••••• unclassifiedAug 22, 2003 to Jul 16, 2004 · Jeffersonville, In
- A••••••• P••••••••• A•••••••• I•• to A••••••• C•••••• M••••••••• I•••left Nov 19, 2013, registered Nov 19, 2013 (0 days) · Other
- M•••• C••••••• A••••••• S•••••• to A••••••• P••••••••• A•••••••• I••left May 21, 2010, registered Jun 14, 2010 (24 days) · Other
- O•• C•••••• A••••••• to M•••• C••••••• A••••••• S••••••left Jul 16, 2004, registered Jul 20, 2004 (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
- STATE REGISTEREDderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address