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.
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- B••••••• • C•• W••••• M••••••••• L•• independent RIA currentsince Feb 12, 2023 · Louisville, Ky
- R••••• I••••••••• M••••••••• L•• formerJul 2, 2012 to Feb 6, 2023 · Louisville, Ky
- R••••• G•••• I•• unclassifiedJan 31, 2001 to Dec 31, 2006 · Louisville, Ky
- R••••• I••••••••• M••••••••• L•• to B••••••• • C•• W••••• M••••••••• L••left Feb 6, 2023, registered Feb 12, 2023 (6 days) · RIA to RIA
- R••••• G•••• I•• to R••••• I••••••••• M••••••••• L••left Dec 31, 2006, registered Jul 2, 2012 (2010 days) · Other
- Steven Todd Naiser left Regent Investment Management Llc for Bartlett & Co. Wealth Management Llc (registered 2023-02-12)Feb 6, 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address