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.
S••••• L•• K•••
- L•• F•••••••• L•• BD affiliated currentsince Aug 25, 2017 · Louisville, Ky
- P•••••• C••••• S•••••••• L•• BD affiliatedJan 5, 2010 to Aug 30, 2017 · Louisville, Ky
- W••••••• F•••••••• S•••••••• I••• formerJun 29, 2006 to Dec 31, 2009 · Louisville, Ky
- P•••••• C••••• S•••••••• L•• to L•• F•••••••• L••left Aug 30, 2017, registered Aug 25, 2017 (-5 days) · Other · moved with a team
- W••••••• F•••••••• S•••••••• I••• to P•••••• C••••• S•••••••• L••left Dec 31, 2009, registered Jan 5, 2010 (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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address