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.
L•••• J••• C••••
- R•••••• W••••• P•••••••• L•• independent RIA currentsince Jan 17, 2017 · Louisville, Ky
- J••••• H•••••••• W••• L••••• L•• formerSep 26, 2008 to Feb 10, 2017 · Louisville, Ky
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 6, 2000 to Sep 30, 2008 · Louisville, Ky
- J••••• H•••••••• W••• L••••• L•• to R•••••• W••••• P•••••••• L••left Feb 10, 2017, registered Jan 17, 2017 (-24 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••••• H•••••••• W••• L••••• L••left Sep 30, 2008, registered Sep 26, 2008 (-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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address