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••• D••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Apr 16, 2025 · Pikeville, Ky
- L•• F•••••••• L•• BD affiliatedFeb 6, 2018 to Apr 17, 2025 · Paintsville, Ky
- B••• S••••••••• L•• formerJan 2, 2018 to Jan 17, 2018 · Birmingham, Al
- B••• I••••••••• S•••••••• I••• formerMar 19, 2008 to Jan 2, 2018 · Pikeville, Ky
- L•• F•••••••• L•• BD affiliatedSep 4, 2007 to Mar 4, 2008 · Pikeville, Ky
- C••••• I••••••••• S••••••• L•• formerMay 16, 2006 to Sep 5, 2007 · Versailles, Ky
- L•• F•••••••• L•• to T••••• A••••••• S•••••••• I•••left Apr 17, 2025, registered Apr 16, 2025 (-1 days) · Affiliated broker-dealer or bank to another
- B••• S••••••••• L•• to L•• F•••••••• L••left Jan 17, 2018, registered Feb 6, 2018 (20 days) · Other
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to B••• I••••••••• S•••••••• I•••left Mar 4, 2008, registered Mar 19, 2008 (15 days) · Other
- C••••• I••••••••• S••••••• L•• to L•• F•••••••• L••left Sep 5, 2007, registered Sep 4, 2007 (-1 days) · Other
- M•••••• A••• D•• left L•• F•••••••• L•• for T••••• A••••••• S•••••••• I••• (registered 2025-04-16)Apr 17, 2025 · Advisor changed firm · fact
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