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.
C•••• R• C••••
- S••••• O•• S••••••••• I••• BD affiliated currentsince Sep 16, 2019 · Midway, Ky
- C••••••• • C••• I••• formerMar 21, 2019 to Sep 13, 2019 · Midway, Ky
- A••••••• F•••••••• A•••••••• L•• BD affiliatedAug 15, 2018 to Mar 22, 2019 · Lexington, Ky
- I••••••••• F•••••••• G••••• L•• BD affiliatedJun 17, 2013 to Oct 13, 2017 · Midway, Ky
- C••••••• • C••• I••• formerSep 3, 2010 to Jun 18, 2013 · Sugland, Tx
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Sep 8, 2010 · Sugar Land, Tx
- A• G• E•••••• • S•••• I••• unclassifiedNov 28, 2005 to Jan 1, 2008 · Sugar Land, Tx
- C••••••• • C••• I••• to S••••• O•• S••••••••• I•••left Sep 13, 2019, registered Sep 16, 2019 (3 days) · Affiliated broker-dealer or bank to another
- A••••••• F•••••••• A•••••••• L•• to C••••••• • C••• I•••left Mar 22, 2019, registered Mar 21, 2019 (-1 days) · Affiliated broker-dealer or bank to another
- I••••••••• F•••••••• G••••• L•• to A••••••• F•••••••• A•••••••• L••left Oct 13, 2017, registered Aug 15, 2018 (306 days) · Other
- C••••••• • C••• I••• to I••••••••• F•••••••• G••••• L••left Jun 18, 2013, registered Jun 17, 2013 (-1 days) · Other
- W•••• F•••• A••••••• to C••••••• • C••• I•••left Sep 8, 2010, registered Sep 3, 2010 (-5 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address