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.
T•••••• T••• O•••••
- R••••• W• B•••• • C•• I••••••••• mixed wealth currentsince Oct 18, 2019 · Louisville, Ky
- J••••• H•••••••• W••• L••••• L•• formerJan 24, 2007 to Oct 18, 2019 · Louisville, Ky
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedSep 26, 2006 to Dec 1, 2006 · Louisville, Ky
- B••• I••••••••• S•••••••• I••• formerJan 25, 2005 to Apr 5, 2006 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• wirehouseDec 13, 2001 to Oct 14, 2004 · Louisville, 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
- U•••• F•••••••• S••••••• G••••• I••• to J••••• H•••••••• W••• L••••• L••left Dec 1, 2006, registered Jan 24, 2007 (54 days) · Other
- B••• I••••••••• S•••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Apr 5, 2006, registered Sep 26, 2006 (174 days) · Other
- U•• F•••••••• S••••••• I••• to B••• I••••••••• S•••••••• I•••left Oct 14, 2004, registered Jan 25, 2005 (103 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address