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.
D•••• W••••• D•••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Aug 6, 2012 · Lexington, Ky
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to May 15, 2012 · Lexington, Ky
- J••• M••••• S••••••••• I••• unclassifiedJun 3, 2008 to Oct 1, 2008 · Lexington, Ky
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 1, 2004 to Jun 4, 2008 · Lexington, Ky
- J••• M••••• S••••••••• L•• to U•• F•••••••• S••••••• I•••left May 15, 2012, registered Aug 6, 2012 (83 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• I•••left Jun 4, 2008, registered Jun 3, 2008 (-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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address