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.
J•••• S•••• Y••••
- L•• F•••••••• L•• BD affiliated currentsince May 30, 2023 · Lexington, Ky
- O•••• W•••••• I••• BD affiliatedAug 18, 2017 to Jun 1, 2023 · Lexington, Ky
- A••••••• A••••••• S••••••• formerDec 6, 2012 to Sep 15, 2017 · Lexington, Ky
- O•••• W•••••• I••• to L•• F•••••••• L••left Jun 1, 2023, registered May 30, 2023 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- A••••••• A••••••• S••••••• to O•••• W•••••• I•••left Sep 15, 2017, registered Aug 18, 2017 (-28 days) · Other · moved with a team
- J•••• S•••• Y•••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2023-05-30)Jun 1, 2023 · 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
- 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