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.
W•••• J••• S•••••••••
- S•••••••• A•••••••• L•• BD affiliated currentsince Mar 4, 2022 · Louisville, Ky
- R•••••• J•••• • A••••••••• I••• national BDMar 28, 2018 to Feb 4, 2022 · Louisville, Ky
- M••••• S•••••• wirehouseNov 9, 2017 to Mar 27, 2018 · Louisville, Ky
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 2, 2012 to Nov 2, 2017 · Louisville, Ky
- U•• F•••••••• S••••••• I••• wirehouseAug 9, 2011 to Nov 12, 2012 · Louisville, Ky
- P•• W••••• M••••••••• BD affiliatedMar 28, 2011 to Aug 12, 2011 · Louisville, Ky
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 14, 2005 to Mar 16, 2011 · Toledo, Oh
- R•••••• J•••• • A••••••••• I••• to S•••••••• A•••••••• L••left Feb 4, 2022, registered Mar 4, 2022 (28 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Mar 27, 2018, registered Mar 28, 2018 (1 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Nov 2, 2017, registered Nov 9, 2017 (7 days) · Wirehouse to wirehouse
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 12, 2012, registered Nov 2, 2012 (-10 days) · Wirehouse to wirehouse
- P•• W••••• M••••••••• to U•• F•••••••• S••••••• I•••left Aug 12, 2011, registered Aug 9, 2011 (-3 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left Mar 16, 2011, registered Mar 28, 2011 (12 days) · Other
- W•••• J••• S••••••••• left R•••••• J•••• • A••••••••• I••• for S•••••••• A•••••••• L•• (registered 2022-03-04)Feb 4, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address