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••••••• M•••• V•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 6, 2019 · Louisville, Ky
- W•••••• • R••• formerFeb 27, 2013 to Oct 1, 2015 · Louisville, Ky
- F•••• T•••• S••••••••• I••• BD affiliatedMay 26, 2010 to Apr 19, 2012 · Louisville, Ky
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to May 27, 2010 · Louisville, Ky
- N•••••• I••••••••• I••• unclassifiedOct 3, 2007 to Nov 13, 2009 · Louisville, Ky
- L••• K••• • C•••••• formerJul 31, 2003 to Dec 31, 2006 · Louisville, Ky
- W•••••• • R••• to L•• F•••••••• L••left Oct 1, 2015, registered Feb 6, 2019 (1224 days) · Other
- F•••• T•••• S••••••••• I••• to W•••••• • R•••left Apr 19, 2012, registered Feb 27, 2013 (314 days) · Other
- P•• W••••• M••••••••• to F•••• T•••• S••••••••• I•••left May 27, 2010, registered May 26, 2010 (-1 days) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
- L••• K••• • C•••••• to N•••••• I••••••••• I•••left Dec 31, 2006, registered Oct 3, 2007 (276 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address