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•••••• R••• G••••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 31, 2015 · Lexington, Ky
- P•• W••••• M••••••••• BD affiliatedJul 23, 2012 to Jul 23, 2015 · Lexington, Ky
- B••• I••••••••• S•••••••• I••• formerMay 18, 2011 to Jun 4, 2012 · Charlotte, Nc
- P•• W••••• M••••••••• to L•• F•••••••• L••left Jul 23, 2015, registered Aug 31, 2015 (39 days) · Other
- B••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••left Jun 4, 2012, registered Jul 23, 2012 (49 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address