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.
R•••••• M•••• H•••
- L•• F•••••••• L•• BD affiliated currentsince May 21, 2026 · Dallas, Tx
- W•••••• S••••••••• I••• BD affiliatedDec 1, 2023 to May 21, 2026 · Pasadena, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 23, 2020 to Dec 7, 2023 · Lexington, Ky
- W••••••• S••••••••• I••• BD affiliatedNov 30, 2018 to Aug 10, 2020 · Lexington, Ky
- P•• W••••• M••••••••• BD affiliatedAug 16, 2016 to Nov 1, 2018 · Louisville, Ky
- U•• F•••••••• S••••••• I••• wirehouseJan 21, 2014 to Jun 28, 2016 · Louisville, Ky
- F•••• T•••• S••••••••• I••• BD affiliatedAug 15, 2012 to Jan 10, 2014 · Lexington, Ky
- W•••••• S••••••••• I••• to L•• F•••••••• L••left May 21, 2026, registered May 21, 2026 (0 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••••• S••••••••• I•••left Dec 7, 2023, registered Dec 1, 2023 (-6 days) · Wirehouse to affiliated broker-dealer or bank
- W••••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 10, 2020, registered Jul 23, 2020 (-18 days) · Affiliated broker-dealer or bank to wirehouse
- P•• W••••• M••••••••• to W••••••• S••••••••• I•••left Nov 1, 2018, registered Nov 30, 2018 (29 days) · Affiliated broker-dealer or bank to another · moved with a team
- U•• F•••••••• S••••••• I••• to P•• W••••• M•••••••••left Jun 28, 2016, registered Aug 16, 2016 (49 days) · Other
- F•••• T•••• S••••••••• I••• to U•• F•••••••• S••••••• I•••left Jan 10, 2014, registered Jan 21, 2014 (11 days) · Other
- R•••••• M•••• H••• left W•••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2026-05-21)May 21, 2026 · Advisor changed firm · fact
- R•••••• M•••• H••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for W•••••• S••••••••• I••• (registered 2023-12-01)Dec 7, 2023 · 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