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.
S•••• M••••••• P••••
- R••••• W• B•••• • C•• I••••••••• mixed wealth currentsince Oct 18, 2019 · Bowling Green - Park Plaza, Ky
- J••••• H•••••••• W••• L••••• L•• formerSep 12, 2013 to Oct 18, 2019 · Louisville, Ky
- W•••• F•••• A••••••• wirehouseNov 3, 2006 to Sep 13, 2013 · Bowling Green, Ky
- M••••• S•••••• D• I••• unclassifiedNov 18, 2002 to Nov 7, 2006 · Bowling Green, Ky
- J••••• H•••••••• W••• L••••• L•• to R••••• W• B•••• • C•• I•••••••••left Oct 18, 2019, registered Oct 18, 2019 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to J••••• H•••••••• W••• L••••• L••left Sep 13, 2013, registered Sep 12, 2013 (-1 days) · Other
- M••••• S•••••• D• I••• to W•••• F•••• A•••••••left Nov 7, 2006, registered Nov 3, 2006 (-4 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address