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.
S•••• P• B••••
- E••••• J•••• national BD currentsince Nov 5, 2025 · Jeffersonville, In
- A•••• F•••••••• S••••••••• G••••• L•• independent RIAFeb 24, 2020 to Jun 2, 2025 · New Albany, In
- W•••• F•••• A••••••• wirehouseNov 18, 2016 to Jan 25, 2019 · Louisville, Ky
- A•••• F•••••••• S••••••••• G••••• L•• to E••••• J••••left Jun 2, 2025, registered Nov 5, 2025 (156 days) · RIA to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to A•••• F•••••••• S••••••••• G••••• L••left Jan 25, 2019, registered Feb 24, 2020 (395 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- S•••• P• B•••• left A•••• F•••••••• S••••••••• G••••• L•• for E••••• J•••• (registered 2025-11-05)Jun 2, 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
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address