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.
- F••••• I••••••••• independent RIA currentsince Nov 3, 2021 · Plano, Tx
- I••••••••• C•••••• O• A••••••• I••• formerOct 3, 2016 to Nov 27, 2017 · New Albany, In
- C••• B•••••••• S•••••••• I••• formerJun 29, 2007 to Sep 28, 2016 · Scottsburg, In
- P•••••• C••••• S•••••••• L•• BD affiliatedMay 9, 2003 to Oct 8, 2003 · Louisville, Ky
- I••••••••• C•••••• O• A••••••• I••• to F••••• I•••••••••left Nov 27, 2017, registered Nov 3, 2021 (1437 days) · Other
- C••• B•••••••• S•••••••• I••• to I••••••••• C•••••• O• A••••••• I•••left Sep 28, 2016, registered Oct 3, 2016 (5 days) · Other
- P•••••• C••••• S•••••••• L•• to C••• B•••••••• S•••••••• I•••left Oct 8, 2003, registered Jun 29, 2007 (1360 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address