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•••••• D••• R••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince May 5, 2025 · Perryville, Ky
- L•• F•••••••• L•• BD affiliatedSep 5, 2019 to May 16, 2025 · Perryville, Ky
- F•• S••••••••• C••••••••• formerJun 25, 2015 to Sep 9, 2019 · Perryville, Ky
- W••••• M••••••••• O• K•••••••• I••• state registeredNov 14, 2014 to May 18, 2015 · Lexington, Ky
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedFeb 13, 2013 to Oct 1, 2014 · Lexington, Ky
- L•• F•••••••• L•• BD affiliatedJun 25, 2010 to Mar 8, 2013 · Richmond, Ky
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Jun 25, 2010 · Richmond, Ky
- N•••••• I••••••••• I••• unclassifiedDec 18, 2008 to Nov 13, 2009 · Richmond, Ky
- M••••• S•••••• • C•• L•• unclassifiedDec 21, 2007 to Aug 28, 2008 · Lexington, Ky
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left May 16, 2025, registered May 5, 2025 (-11 days) · Affiliated broker-dealer or bank to another
- F•• S••••••••• C••••••••• to L•• F•••••••• L••left Sep 9, 2019, registered Sep 5, 2019 (-4 days) · Affiliated broker-dealer or bank to another
- W••••• M••••••••• O• K•••••••• I••• to F•• S••••••••• C•••••••••left May 18, 2015, registered Jun 25, 2015 (38 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to W••••• M••••••••• O• K•••••••• I•••left Oct 1, 2014, registered Nov 14, 2014 (44 days) · Other
- L•• F•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 8, 2013, registered Feb 13, 2013 (-23 days) · Other
- P•• W••••• M••••••••• to L•• F•••••••• L••left Jun 25, 2010, registered Jun 25, 2010 (0 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 Aug 28, 2008, registered Dec 18, 2008 (112 days) · Other
- T•••••• D••• R•••••• left L•• F•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2025-05-05)May 16, 2025 · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address