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.
W•••••• T•••• T•••••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Feb 17, 2021 · Bowling Green, Ky
- B••• S••••••••• L•• formerJan 2, 2018 to Feb 17, 2021 · Winchester, Ky
- B••• I••••••••• S•••••••• I••• formerJun 1, 2010 to Jan 2, 2018 · Ceredo, Wv
- L•• F•••••••• L•• BD affiliatedSep 4, 2007 to May 3, 2010 · Huntington, Wv
- C••••• I••••••••• S••••••• L•• formerNov 24, 2003 to Sep 5, 2007 · Ashland, Ky
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 31, 2001 to Feb 5, 2003 · Ashland, Ky
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to B••• I••••••••• S•••••••• I•••left May 3, 2010, registered Jun 1, 2010 (29 days) · Other
- C••••• I••••••••• S••••••• L•• to L•• F•••••••• L••left Sep 5, 2007, registered Sep 4, 2007 (-1 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• I••••••••• S••••••• L••left Feb 5, 2003, registered Nov 24, 2003 (292 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address