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.
C•••••••• E••••••• E•••••••
- I••••••••• A•••••• A•••••••• L•• i••••••••• wealth currentsince Mar 26, 2019 · Lexington, Ky
- L•• F•••••••• L•• BD affiliatedAug 12, 2014 to Dec 14, 2015 · Lexington, Ky
- I••••••••• F•••••••• P••••••• BD affiliatedJul 19, 2012 to Mar 26, 2019 · Lexington, Ky
- R•••••• C•••••• M••••••••• L•• i••••••••• wealthAug 19, 2009 to Jul 25, 2012
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 19, 2009 · Lexington, Ky
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 22, 2004 to Jun 1, 2009 · Lexington, Ky
- I••••••••• F•••••••• P••••••• to L•• F•••••••• L••left Mar 26, 2019, registered Aug 12, 2014 (-1687 days) · Other
- L•• F•••••••• L•• to I••••••••• A•••••• A•••••••• L••left Dec 14, 2015, registered Mar 26, 2019 (1198 days) · Other
- R•••••• C•••••• M••••••••• L•• to I••••••••• F•••••••• P•••••••left Jul 25, 2012, registered Jul 19, 2012 (-6 days) · Other
- M••••• S•••••• to R•••••• C•••••• M••••••••• L••left Aug 19, 2009, registered Aug 19, 2009 (0 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (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
- I••••••••• WEALTHderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address