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.
B•••• A•••• H•••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 16, 2019 · Somerset, Ky
- G•••••••• F•••••••• L•• unclassifiedAug 2, 2018 to Aug 20, 2019 · Somerset, Ky
- C•••••• S••••• • C••• I••• national BDDec 14, 2015 to Aug 2, 2018 · Louisville, Ky
- B••• I••••••••• S•••••••• I••• formerMar 9, 2015 to Dec 1, 2015 · Charlotte, Nc
- N••••••••• I••••••••• A•••••••• L•• BD affiliatedMar 14, 2012 to Mar 2, 2015 · Columbus, Oh
- M•• F•••••••• S•••••••• I••• formerFeb 10, 2011 to Feb 10, 2012 · Broadview Hts, Oh
- G•••••••• F•••••••• L•• to L•• F•••••••• L••left Aug 20, 2019, registered Dec 16, 2019 (118 days) · Other
- C•••••• S••••• • C••• I••• to G•••••••• F•••••••• L••left Aug 2, 2018, registered Aug 2, 2018 (0 days) · Other
- B••• I••••••••• S•••••••• I••• to C•••••• S••••• • C••• I•••left Dec 1, 2015, registered Dec 14, 2015 (13 days) · Other
- N••••••••• I••••••••• A•••••••• L•• to B••• I••••••••• S•••••••• I•••left Mar 2, 2015, registered Mar 9, 2015 (7 days) · Other
- M•• F•••••••• S•••••••• I••• to N••••••••• I••••••••• A•••••••• L••left Feb 10, 2012, registered Mar 14, 2012 (33 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address