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.
L••••••• V••••• H••••
- T••••••• S••••••• A••••••• BD affiliated currentsince Nov 27, 2020 · Indianapolis, In
- P•••••• C••••• S•••••••• L•• BD affiliatedNov 6, 2008 to Jul 24, 2015 · Crestwood, Ky
- W••••••• F•••••••• S•••••••• I••• formerNov 6, 2008 to Dec 31, 2009 · Crestwood, Ky
- C••• B•••••••• S•••••••• I••• formerMay 21, 2004 to Nov 4, 2008 · Frankfort, Ky
- A••••••••• F•••••••• S•••••••• L•• national BDSep 16, 2003 to May 26, 2004 · Louisville, Ky
- P•••••• C••••• S•••••••• L•• to T••••••• S••••••• A•••••••left Jul 24, 2015, registered Nov 27, 2020 (1953 days) · Other
- W••••••• F•••••••• S•••••••• I••• to P•••••• C••••• S•••••••• L••left Dec 31, 2009, registered Nov 6, 2008 (-420 days) · Other
- C••• B•••••••• S•••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Nov 4, 2008, registered Nov 6, 2008 (2 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C••• B•••••••• S•••••••• I•••left May 26, 2004, registered May 21, 2004 (-5 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address