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.
T••• L•• C•••••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Jan 23, 2008 · Nashville, Tn
- L•• F•••••••• L•• BD affiliatedSep 4, 2007 to Nov 27, 2007 · Versailles, Ky
- C••••• I••••••••• S••••••• L•• formerJul 28, 2006 to Sep 5, 2007 · Richmond, Ky
- L•• F•••••••• L•• to A••••• A•• P••••••• S•••••••left Nov 27, 2007, registered Jan 23, 2008 (57 days) · Other
- C••••• I••••••••• S••••••• L•• to L•• F•••••••• L••left Sep 5, 2007, registered Sep 4, 2007 (-1 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address