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.
R•••••• M••••••• K•••••
- E••••• J•••• national BD currentsince May 8, 2025 · Jeffersonville, In
- A•••• F•••••••• S••••••••• G••••• L•• independent RIAFeb 24, 2020 to May 28, 2025 · New Albany, In
- W•••• F•••• A••••••• wirehouseNov 15, 2012 to Feb 28, 2020 · Louisville, Ky
- A•••• F•••••••• S••••••••• G••••• L•• to E••••• J••••left May 28, 2025, registered May 8, 2025 (-20 days) · RIA to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to A•••• F•••••••• S••••••••• G••••• L••left Feb 28, 2020, registered Feb 24, 2020 (-4 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- R•••••• M••••••• K••••• left A•••• F•••••••• S••••••••• G••••• L•• for E••••• J•••• (registered 2025-05-08)May 28, 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