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.
A••• M••••• H••••••
- A••••••• S••••••• N•••••• independent RIA currentsince Mar 23, 2018 · Louisville, Ky
- S•••••• W••••• P•••••••• L•• BD affiliatedJan 27, 2017 to Mar 15, 2018 · Louisville, Ky
- F•••• T•••• S••••••••• I••• BD affiliatedAug 10, 2016 to Jan 30, 2017 · Louisville, Ky
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Aug 9, 2016 · Louisville, Ky
- C•••• I••••••••• S••••••• C•••• formerOct 25, 2011 to Oct 1, 2012 · Louisville, Ky
- C•••• I••••••••• S••••••• C•••• formerDec 22, 2008 to Sep 23, 2010 · Louisville, Ky
- E••••• J•••• national BDSep 19, 2008 to Nov 11, 2008 · St Louis, Mo
- J••••• H•••••••• W••• L••••• L•• formerOct 21, 2005 to Sep 19, 2008 · Louisville, Ky
- S•••••• W••••• P•••••••• L•• to A••••••• S••••••• N••••••left Mar 15, 2018, registered Mar 23, 2018 (8 days) · Other
- F•••• T•••• S••••••••• I••• to S•••••• W••••• P•••••••• L••left Jan 30, 2017, registered Jan 27, 2017 (-3 days) · Other
- J••• M••••• S••••••••• L•• to F•••• T•••• S••••••••• I•••left Aug 9, 2016, registered Aug 10, 2016 (1 days) · Other · moved with a team
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- E••••• J•••• to C•••• I••••••••• S••••••• C••••left Nov 11, 2008, registered Dec 22, 2008 (41 days) · Other
- J••••• H•••••••• W••• L••••• L•• to E••••• J••••left Sep 19, 2008, registered Sep 19, 2008 (0 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address