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.
T•••••• J•• S•••••
- S•••• I••••• S••••••••• L•• independent RIA currentsince Sep 10, 2019 · Fort Lauderdale, Fl
- S••••••••• A••••••• formerJan 31, 2019 to Sep 13, 2019 · Mt. Sterling, Ky
- S••••• I••••••••• M••••••••• L•• independent RIAOct 26, 2015 to Jan 28, 2019 · Mt. Sterling, Ky
- H••••• I••••••••• M••••••••• L•• independent RIAOct 5, 2012 to Oct 20, 2015 · Mt. Sterling, Ky
- A•••••••• C•••••• M••••••••• independent RIADec 5, 2011 to Oct 3, 2012 · Lexington, Ky
- G••••• F•••••••• P•••••• C••••••• I••• formerJun 10, 2010 to Nov 30, 2011 · Lexington, Ky
- S••••••••• A••••••• to S•••• I••••• S••••••••• L••left Sep 13, 2019, registered Sep 10, 2019 (-3 days) · RIA to RIA
- S••••• I••••••••• M••••••••• L•• to S••••••••• A•••••••left Jan 28, 2019, registered Jan 31, 2019 (3 days) · RIA to a newly registered adviser · moved with a team
- H••••• I••••••••• M••••••••• L•• to S••••• I••••••••• M••••••••• L••left Oct 20, 2015, registered Oct 26, 2015 (6 days) · Other
- A•••••••• C•••••• M••••••••• to H••••• I••••••••• M••••••••• L••left Oct 3, 2012, registered Oct 5, 2012 (2 days) · Other
- G••••• F•••••••• P•••••• C••••••• I••• to A•••••••• C•••••• M•••••••••left Nov 30, 2011, registered Dec 5, 2011 (5 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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address