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••••• J••••• H•••••••••
- S••••• W••••• M••••••••• independent RIA currentsince Jan 1, 2025 · Louisville, Ky
- S•••••• A••••••• P•••••••• L•• formerSep 19, 2014 to Oct 3, 2024 · Louisville, Ky
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 30, 2014 · Lexington, Ky
- M••••• S•••••• • C•• L•• unclassifiedJun 23, 2008 to Jun 1, 2009 · Louisville, Ky
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 13, 2004 to Jun 3, 2008 · Louisville, Ky
- U•• F•••••••• S••••••• I••• wirehouseFeb 3, 2003 to Feb 24, 2004 · Louisville, Ky
- S•••••• A••••••• P•••••••• L•• to S••••• W••••• M•••••••••left Oct 3, 2024, registered Jan 1, 2025 (90 days) · RIA to RIA · moved with a team
- M••••• S•••••• to S•••••• A••••••• P•••••••• L••left Sep 30, 2014, registered Sep 19, 2014 (-11 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Jun 3, 2008, registered Jun 23, 2008 (20 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 24, 2004, registered Feb 13, 2004 (-11 days) · Wirehouse to wirehouse
- D••••• J••••• H••••••••• left S•••••• A••••••• P•••••••• L•• for S••••• W••••• M••••••••• (registered 2025-01-01)Oct 3, 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address