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•••• C••••••••• G••••••
- W••••• M••••••••• O• T•• B••••••••• L••• independent RIA currentsince Jul 28, 2017 · Lexington, Ky
- A••••• A•• P••••••• S••••••• BD affiliatedMay 17, 2007 to Sep 3, 2009 · Lexington, Ky
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Mar 6, 2007 · Lexington, Ky
- B••• O•• S••••••••• C••••••••• unclassifiedMar 17, 2003 to Jul 6, 2005 · Lexington, Ky
- A••••• A•• P••••••• S••••••• to W••••• M••••••••• O• T•• B••••••••• L•••left Sep 3, 2009, registered Jul 28, 2017 (2885 days) · Other
- C•••• I••••••••• S••••••• C•••• to A••••• A•• P••••••• S•••••••left Mar 6, 2007, registered May 17, 2007 (72 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
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