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.
E•••• G• L••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · New Albany, In
- C••• B•••••••• S•••••••• I••• formerDec 7, 2016 to May 18, 2022 · New Albany, In
- I••••••••• P••••••••• I••• formerNov 23, 2015 to Aug 30, 2016 · Louisville, Ky
- J••• M••••• S••••••••• L•• wirehouseAug 20, 2013 to Dec 8, 2015 · Louisville, Ky
- B••• I••••••••• S•••••••• I••• formerSep 27, 2010 to Oct 4, 2012 · Louisville, Ky
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Sep 13, 2010 · Louisville, Ky
- N•••••• I••••••••• I••• unclassifiedApr 15, 2009 to Nov 13, 2009 · Louisville, Ky
- M••••• S•••••• • C•• L•• unclassifiedApr 23, 2008 to Feb 20, 2009 · Louisville, Ky
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- I••••••••• P••••••••• I••• to C••• B•••••••• S•••••••• I•••left Aug 30, 2016, registered Dec 7, 2016 (99 days) · Other
- J••• M••••• S••••••••• L•• to I••••••••• P••••••••• I•••left Dec 8, 2015, registered Nov 23, 2015 (-15 days) · Other
- B••• I••••••••• S•••••••• I••• to J••• M••••• S••••••••• L••left Oct 4, 2012, registered Aug 20, 2013 (320 days) · Other
- P•• W••••• M••••••••• to B••• I••••••••• S•••••••• I•••left Sep 13, 2010, registered Sep 27, 2010 (14 days) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• • C•• L•• to N•••••• I••••••••• I•••left Feb 20, 2009, registered Apr 15, 2009 (54 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address