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.
T•••••• J•••• K••••
- N•••••••• F•••••••• P••••••• state registered currentsince Oct 10, 2023 · Franklin, Tn
- C•••••• S••••• • C••• I••• national BDNov 2, 2015 to Aug 4, 2023 · Louisville, Ky
- S•••••••• A••••••• L•• national BDNov 28, 2007 to Oct 1, 2015 · Covington, Ky
- C•••••• S••••• • C••• I••• to N•••••••• F•••••••• P•••••••left Aug 4, 2023, registered Oct 10, 2023 (67 days) · Affiliated broker-dealer or bank to a state-registered adviser
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Oct 1, 2015, registered Nov 2, 2015 (32 days) · Affiliated broker-dealer or bank to another
- T•••••• J•••• K•••• left C•••••• S••••• • C••• I••• for N•••••••• F•••••••• P••••••• (registered 2023-10-10)Aug 4, 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
- STATE REGISTEREDderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address