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.
C•••••• J••• R•••••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Jun 4, 2014 · Seattle, Wa
- P•• W••••• M••••••••• BD affiliatedDec 21, 2011 to May 12, 2014 · Louisville, Ky
- B••• I••••••••• S•••••••• I••• formerMar 21, 2006 to Aug 20, 2010 · Louisville, Ky
- B••• A•••• M••••••••• I••• unclassifiedAug 30, 2005 to Mar 21, 2006 · Louisville, Ky
- W•••••• • R••• formerOct 13, 2003 to Aug 31, 2005 · Louisville, Ky
- P•• W••••• M••••••••• to A••••• A•• P••••••• S•••••••left May 12, 2014, registered Jun 4, 2014 (23 days) · Other
- B••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••left Aug 20, 2010, registered Dec 21, 2011 (488 days) · Other
- B••• A•••• M••••••••• I••• to B••• I••••••••• S•••••••• I•••left Mar 21, 2006, registered Mar 21, 2006 (0 days) · Other
- W•••••• • R••• to B••• A•••• M••••••••• I•••left Aug 31, 2005, registered Aug 30, 2005 (-1 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