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.
J•••••• M•••• C••••••
- K••••••• F•••••••• G••••• L•• independent RIA currentsince Sep 11, 2018 · Lexington, Ky
- J••• M••••• S••••••••• L•• wirehouseFeb 13, 2018 to Sep 12, 2018 · Lexington, Ky
- J••• M••••• S••••••••• L•• wirehouseFeb 26, 2013 to Jun 12, 2015 · Lexington, Ky
- L•• F•••••••• L•• BD affiliatedDec 11, 2012 to Feb 20, 2013 · Lexington, Ky
- F•••• T•••• S••••••••• I••• BD affiliatedJun 11, 2007 to Dec 6, 2012 · Lexington, Ky
- J••• M••••• S••••••••• L•• to K••••••• F•••••••• G••••• L••left Sep 12, 2018, registered Sep 11, 2018 (-1 days) · Wirehouse to independent RIA
- L•• F•••••••• L•• to J••• M••••• S••••••••• L••left Feb 20, 2013, registered Feb 26, 2013 (6 days) · Other
- F•••• T•••• S••••••••• I••• to L•• F•••••••• L••left Dec 6, 2012, registered Dec 11, 2012 (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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address