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.
J•••••• A•••• S•••••
- D•••••• T••••••• I••••••••• C•••• independent RIA currentsince Mar 7, 2024 · Louisville, Ky
- A•••••• I••••••••• A•••••••• L•• unclassifiedNov 13, 2009 to Jul 6, 2011 · Louisville, Ky
- R•••••• C•••••• M••••••••• L•• formerJun 13, 2007 to Sep 16, 2009 · Louisville, Ky
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 7, 2007 · Louisville, Ky
- M••••• S•••••• D• I••• unclassifiedOct 24, 2003 to Apr 2, 2007 · Louisville, Ky
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 23, 1997 to Nov 3, 2003 · Louisville, Ky
- A•••••• I••••••••• A•••••••• L•• to D•••••• T••••••• I••••••••• C••••left Jul 6, 2011, registered Mar 7, 2024 (4628 days) · Other
- R•••••• C•••••• M••••••••• L•• to A•••••• I••••••••• A•••••••• L••left Sep 16, 2009, registered Nov 13, 2009 (58 days) · Other
- M••••• S•••••• • C•• L•• to R•••••• C•••••• M••••••••• L••left Jun 7, 2007, registered Jun 13, 2007 (6 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• D• I•••left Nov 3, 2003, registered Oct 24, 2003 (-10 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