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.
S••• C•••••••• O•••
- D••• D••••••• • C•• independent RIA currentsince Dec 6, 2021 · Prospect, Ky
- P•••••• C••••• S•••••••• L•• BD affiliatedMar 7, 2019 to Nov 19, 2021 · Louisville, Ky
- J••••• H•••••••• W••• L••••• L•• formerJun 11, 2012 to Mar 11, 2019 · Louisville, Ky
- P•• W••••• M••••••••• BD affiliatedFeb 18, 2011 to May 22, 2012 · Louisville, Ky
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 25, 2009 to Apr 17, 2009 · Jacksonville, Fl
- P•••••• C••••• S•••••••• L•• to D••• D••••••• • C••left Nov 19, 2021, registered Dec 6, 2021 (17 days) · Affiliated broker-dealer or bank to independent RIA
- J••••• H•••••••• W••• L••••• L•• to P•••••• C••••• S•••••••• L••left Mar 11, 2019, registered Mar 7, 2019 (-4 days) · RIA to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to J••••• H•••••••• W••• L••••• L••left May 22, 2012, registered Jun 11, 2012 (20 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left Apr 17, 2009, registered Feb 18, 2011 (672 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address