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.
- M•• A•••••••• L•• independent RIA currentsince Jan 5, 2017 · Lexington, Ky
- M•• A•••••••• L•• independent RIASep 18, 2013 to Dec 31, 2016 · Lexington, Ky
- N•• A•••••• S•••••••• L•• formerSep 6, 2013 to Sep 9, 2013 · Covington, Ky
- E•••••••• A•••••••• L•• national BDAug 9, 2007 to Sep 10, 2013 · Cincinnati, Oh
- E•••••••• A•••••••• L•• to N•• A•••••• S•••••••• L••left Sep 10, 2013, registered Sep 6, 2013 (-4 days) · Other
- N•• A•••••• S•••••••• L•• to M•• A•••••••• L••left Sep 9, 2013, registered Sep 18, 2013 (9 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