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.
- M••••• S•••••• wirehouse currentsince Oct 30, 2020 · Louisville, Ky
- I••••••••• F•••••••• P••••••• BD affiliatedOct 25, 2019 to Oct 12, 2020 · Tampa, Fl
- L•• F•••••••• L•• BD affiliatedFeb 26, 2018 to Nov 7, 2019 · Louisville, Ky
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 1, 2011 to Mar 16, 2017 · Louisville, Ky
- W•••• F•••• A••••••• wirehouseJul 31, 2009 to Jul 18, 2011 · Louisville, Ky
- U•• F•••••••• S••••••• I••• wirehouseJan 26, 2009 to Aug 18, 2009 · Louisville, Ky
- I••••••••• F•••••••• P••••••• to M••••• S••••••left Oct 12, 2020, registered Oct 30, 2020 (18 days) · Affiliated broker-dealer or bank to wirehouse
- L•• F•••••••• L•• to I••••••••• F•••••••• P•••••••left Nov 7, 2019, registered Oct 25, 2019 (-13 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Mar 16, 2017, registered Feb 26, 2018 (347 days) · Wirehouse to independent RIA
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 18, 2011, registered Aug 1, 2011 (14 days) · Wirehouse to wirehouse
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Aug 18, 2009, registered Jul 31, 2009 (-18 days) · Wirehouse to wirehouse
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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address