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.
K••••• B•••• O••
- W•••• F•••• A••••••• wirehouse currentsince Oct 21, 2024 · Owensboro, Ky
- L•• F•••••••• L•• BD affiliatedMay 23, 2014 to Oct 28, 2024 · Owensboro, Ky
- O•••• F•• I••• formerJul 22, 2011 to Jun 19, 2014 · Bowling Green, Ky
- B••• I••••••••• S•••••••• I••• formerJan 27, 2005 to Jul 6, 2011 · Bowling Green, Ky
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Oct 28, 2024, registered Oct 21, 2024 (-7 days) · Affiliated broker-dealer or bank to wirehouse
- O•••• F•• I••• to L•• F•••••••• L••left Jun 19, 2014, registered May 23, 2014 (-27 days) · Other
- B••• I••••••••• S•••••••• I••• to O•••• F•• I•••left Jul 6, 2011, registered Jul 22, 2011 (16 days) · Other
- K••••• B•••• O•• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2024-10-21)Oct 28, 2024 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address