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.
E••• H•••••• S••••••
- A••• C•••••• L•• independent RIA currentsince Aug 28, 2018 · Lexington, Ky
- B••• I••••••••• S•••••••• I••• formerJan 23, 2007 to Apr 27, 2012 · Lexington, Ky
- U••• B•••••• I••••••••• I••• formerJan 18, 2006 to Jan 19, 2007 · Lexington, Ky
- A••••••••• F•••••••• S•••••••• L•• national BDJul 14, 2004 to Jun 30, 2005 · High Point, Nc
- B••• I••••••••• S•••••••• I••• to A••• C•••••• L••left Apr 27, 2012, registered Aug 28, 2018 (2314 days) · Other
- U••• B•••••• I••••••••• I••• to B••• I••••••••• S•••••••• I•••left Jan 19, 2007, registered Jan 23, 2007 (4 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to U••• B•••••• I••••••••• I•••left Jun 30, 2005, registered Jan 18, 2006 (202 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address