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.
S•••• K•••
- M•••• C••••••• A••••••• S•••••• BD affiliated currentsince Oct 30, 2019 · Palm Beach Gardens, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 7, 2017 to Oct 10, 2019 · Louisville, Ky
- E••••• J•••• national BDJan 20, 2017 to Mar 1, 2017 · Jeffersonville, In
- A••••••• C•••••• M••••••••• I••• state registeredNov 21, 2016 to Jan 24, 2017 · New Albany, In
- P•• W••••• M••••••••• BD affiliatedAug 10, 2011 to Dec 17, 2014 · Floyds Knobs, In
- C•••• I••••••••• S••••••• C•••• formerJan 20, 2011 to Aug 2, 2011 · Louisville, Ky
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M•••• C••••••• A••••••• S••••••left Oct 10, 2019, registered Oct 30, 2019 (20 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 1, 2017, registered Apr 7, 2017 (37 days) · Other
- A••••••• C•••••• M••••••••• I••• to E••••• J••••left Jan 24, 2017, registered Jan 20, 2017 (-4 days) · Other
- P•• W••••• M••••••••• to A••••••• C•••••• M••••••••• I•••left Dec 17, 2014, registered Nov 21, 2016 (705 days) · Other
- C•••• I••••••••• S••••••• C•••• to P•• W••••• M•••••••••left Aug 2, 2011, registered Aug 10, 2011 (8 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address