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•••• A••• R•••••••
- W••••••• S••••••••• I••• BD affiliated currentsince Jul 24, 2017 · Newport, Ky
- B••• I••••••••• S•••••••• I••• formerNov 10, 2005 to Jul 18, 2017 · Charlotte, Nc
- P•• W••••• M••••••••• BD affiliatedJul 11, 2005 to Nov 16, 2005 · Louisville, Ky
- B••• I••••••••• S•••••••• I••• formerOct 13, 2004 to Jun 29, 2005 · Charlotte, Nc
- Q•••• • R•••••• I••• unclassifiedFeb 4, 2004 to Sep 16, 2004 · Louisville , Ky
- P•• W••••• M••••••••• BD affiliatedJan 1, 2004 to Feb 5, 2004 · Louisville, Ky
- J••••• H•••••••• W••• L••••• L•• formerAug 4, 2003 to Jan 1, 2004 · Louisville, Ky
- B••• I••••••••• S•••••••• I••• to W••••••• S••••••••• I•••left Jul 18, 2017, registered Jul 24, 2017 (6 days) · Other
- P•• W••••• M••••••••• to B••• I••••••••• S•••••••• I•••left Nov 16, 2005, registered Nov 10, 2005 (-6 days) · Other
- B••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••left Jun 29, 2005, registered Jul 11, 2005 (12 days) · Other
- Q•••• • R•••••• I••• to B••• I••••••••• S•••••••• I•••left Sep 16, 2004, registered Oct 13, 2004 (27 days) · Other
- P•• W••••• M••••••••• to Q•••• • R•••••• I•••left Feb 5, 2004, registered Feb 4, 2004 (-1 days) · Other
- J••••• H•••••••• W••• L••••• L•• to P•• W••••• M•••••••••left Jan 1, 2004, registered Jan 1, 2004 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address