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.
N•••••••• D•••• M••••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Nov 16, 2018 · Austin, Tx
- M•• A••••••• formerMay 2, 2014 to Mar 11, 2019 · Louisville, Ky
- L•• F•••••••• L•• BD affiliatedDec 2, 2009 to Feb 3, 2016 · Louisville, Ky
- M•• A••••••• to K••••• A••••••• S•••••••• L••left Mar 11, 2019, registered Nov 16, 2018 (-115 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to M•• A•••••••left Feb 3, 2016, registered May 2, 2014 (-642 days) · Other · moved with a team
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address