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.
J••••• T••• S•••••••
- R••••• W• B•••• • C•• I••••••••• mixed wealth currentsince Aug 31, 2023 · Louisville, Ky
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Sep 11, 2023 · Louisville, Ky
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedOct 9, 2008 to Jan 2, 2009 · Louisville, Ky
- F•••• T•••• S••••••••• I••• BD affiliatedSep 17, 2007 to Oct 9, 2008 · Louisville, Ky
- M••••• K••••• • C••••••• L•• formerMar 22, 2004 to Sep 18, 2007 · Louisville, Ky
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to R••••• W• B•••• • C•• I•••••••••left Sep 11, 2023, registered Aug 31, 2023 (-11 days) · Affiliated broker-dealer or bank to independent RIA
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- F•••• T•••• S••••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Oct 9, 2008, registered Oct 9, 2008 (0 days) · Other
- M••••• K••••• • C••••••• L•• to F•••• T•••• S••••••••• I•••left Sep 18, 2007, registered Sep 17, 2007 (-1 days) · Other
- J••••• T••• S••••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for R••••• W• B•••• • C•• I••••••••• (registered 2023-08-31)Sep 11, 2023 · Advisor changed firm · fact
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address