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.
J•••• D••••• M•••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 8, 2020 · Frankfort, Ky
- C••• B•••••••• S•••••••• I••• formerJun 4, 2019 to Sep 14, 2020 · Waverly, Ia
- A••••••• F•••••••• A•••••••• L•• BD affiliatedMar 5, 2018 to Apr 16, 2019 · Bonita Springs, Fl
- M•• I•••••••• S•••••••• L•• BD affiliatedJun 3, 2014 to Feb 23, 2018 · Lexington, Ky
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left Sep 14, 2020, registered Sep 8, 2020 (-6 days) · Affiliated broker-dealer or bank to another
- A••••••• F•••••••• A•••••••• L•• to C••• B•••••••• S•••••••• I•••left Apr 16, 2019, registered Jun 4, 2019 (49 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to A••••••• F•••••••• A•••••••• L••left Feb 23, 2018, registered Mar 5, 2018 (10 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address