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••••• W• R•••••••
- F•••• T•••• S••••••••• I••• BD affiliated currentsince Dec 5, 2017 · Louisville, Ky
- L•• F•••••••• L•• BD affiliatedAug 29, 2016 to Dec 14, 2017 · Floyds Knobs, In
- I••••••••• C•••••• O• A••••••• I••• formerJul 2, 2014 to Aug 30, 2016 · Appleton, Wi
- U••• B•••••• I••••••••• I••• formerMar 2, 2011 to Jul 8, 2014 · Louisville, Ky
- C•••• I••••••••• S••••••• C•••• formerMay 5, 2010 to Feb 15, 2011 · Corydon, In
- L•• F•••••••• L•• to F•••• T•••• S••••••••• I•••left Dec 14, 2017, registered Dec 5, 2017 (-9 days) · Other
- I••••••••• C•••••• O• A••••••• I••• to L•• F•••••••• L••left Aug 30, 2016, registered Aug 29, 2016 (-1 days) · Other
- U••• B•••••• I••••••••• I••• to I••••••••• C•••••• O• A••••••• I•••left Jul 8, 2014, registered Jul 2, 2014 (-6 days) · Other
- C•••• I••••••••• S••••••• C•••• to U••• B•••••• I••••••••• I•••left Feb 15, 2011, registered Mar 2, 2011 (15 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