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.
D•••••• M••• J••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Apr 8, 2026 · Louisville, Ky
- P•• W••••• M••••••••• BD affiliatedDec 19, 2006 to Apr 7, 2026 · Louisville, Ky
- M••••• S•••••• D• I••• unclassifiedMar 18, 2002 to May 6, 2003 · Louisville, Ky
- P•• W••••• M••••••••• to R•••••• J•••• • A••••••••• I•••left Apr 7, 2026, registered Apr 8, 2026 (1 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• D• I••• to P•• W••••• M•••••••••left May 6, 2003, registered Dec 19, 2006 (1323 days) · Other
- D•••••• M••• J•••••• left P•• W••••• M••••••••• for R•••••• J•••• • A••••••••• I••• (registered 2026-04-08)Apr 7, 2026 · 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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address