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•••• V•••••• S••••
- A•••• F•••••••• S••••••••• G••••• L•• independent RIA currentsince Feb 27, 2020 · New Albany, In
- W•••• F•••• A••••••• wirehouseMar 27, 2009 to Mar 3, 2020 · New Albany, In
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 12, 2003 to Apr 15, 2009 · New Albany, In
- U•• F•••••••• S••••••• I••• wirehouseAug 14, 2000 to Apr 16, 2003 · Louisville, Ky
- W•••• F•••• A••••••• to A•••• F•••••••• S••••••••• G••••• L••left Mar 3, 2020, registered Feb 27, 2020 (-5 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Apr 15, 2009, registered Mar 27, 2009 (-19 days) · Other
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Apr 16, 2003, registered Jun 12, 2003 (57 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address