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.
M•••••• D•••• R•••••
- S•••••••• W••••• I••••••••• G••••• L•• independent RIA currentsince May 31, 2022 · Louisville, Ky
- G••••• F•••••••• P•••••• C••••••• I••• formerMay 30, 2018 to Oct 23, 2018 · Colorado Springs, Co
- W••••••••• L•• unclassifiedMay 4, 2017 to Dec 31, 2017 · Richmond, Va
- T•••• S••••• S••••••••• I••• formerOct 8, 2004 to Jan 6, 2010 · Midlothian, Va
- G••••• F•••••••• P•••••• C••••••• I••• to S•••••••• W••••• I••••••••• G••••• L••left Oct 23, 2018, registered May 31, 2022 (1316 days) · Affiliated broker-dealer or bank to independent RIA
- W••••••••• L•• to G••••• F•••••••• P•••••• C••••••• I•••left Dec 31, 2017, registered May 30, 2018 (150 days) · Other
- T•••• S••••• S••••••••• I••• to W••••••••• L••left Jan 6, 2010, registered May 4, 2017 (2675 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address