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.
E•••• A•••••• C•••••••
- S•••••••• E••••• P•••••••• L••• independent RIA currentsince Jan 22, 2024 · Lexington, Ky
- F•• S••••••••• C••••••••• formerDec 6, 2007 to Jul 2, 2020 · Charlottesville, Va
- V••• F•••••••• A•••••••• I••• BD affiliatedMay 19, 2004 to Dec 7, 2007 · Louisville, Ky
- A••••••••• F•••••••• S•••••••• L•• national BDSep 17, 2003 to May 12, 2004 · Lexington, Ky
- F•• S••••••••• C••••••••• to S•••••••• E••••• P•••••••• L•••left Jul 2, 2020, registered Jan 22, 2024 (1299 days) · Affiliated broker-dealer or bank to independent RIA
- V••• F•••••••• A•••••••• I••• to F•• S••••••••• C•••••••••left Dec 7, 2007, registered Dec 6, 2007 (-1 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to V••• F•••••••• A•••••••• I•••left May 12, 2004, registered May 19, 2004 (7 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address