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•••• G•••••• R••••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Oct 4, 2019 · Louisville, Ky
- F•• S••••••••• C••••••••• formerApr 9, 2018 to Oct 10, 2019 · Louisville, Ky
- W•••• F•••• A••••••• wirehouseOct 7, 2011 to Apr 11, 2018 · Louisville, Ky
- H••••••• I••••••••• P••••••• L•• formerJan 28, 2010 to Aug 25, 2011 · Raleigh, Nc
- G••••• W••••• A••••••••• L•• unclassifiedJul 3, 2007 to Dec 31, 2009 · Charlotte, Nc
- F•• S••••••••• C••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 10, 2019, registered Oct 4, 2019 (-6 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to F•• S••••••••• C•••••••••left Apr 11, 2018, registered Apr 9, 2018 (-2 days) · Wirehouse to affiliated broker-dealer or bank
- H••••••• I••••••••• P••••••• L•• to W•••• F•••• A•••••••left Aug 25, 2011, registered Oct 7, 2011 (43 days) · Other
- G••••• W••••• A••••••••• L•• to H••••••• I••••••••• P••••••• L••left Dec 31, 2009, registered Jan 28, 2010 (28 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address