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.
B••••• M• M•••••
- N••••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Mar 3, 2022 · Columbus, Oh
- P••••••• C•••••• A••••••• C••••••••• formerOct 26, 2021 to Feb 8, 2022 · Lexington, Ky
- N••••••••• I••••••••• A•••••••• L•• BD affiliatedMay 18, 2015 to Nov 1, 2021 · Columbus, Oh
- P•• W••••• M••••••••• BD affiliatedSep 11, 2012 to May 6, 2015 · Lexington, Ky
- C•••• I••••••••• S••••••• C•••• formerOct 17, 2011 to Jul 25, 2012 · Lexington, Ky
- P•• W••••• M••••••••• BD affiliatedSep 21, 2010 to Jan 4, 2011 · Louisville, Ky
- P••••••• C•••••• A••••••• C••••••••• to N••••••••• I••••••••• A•••••••• L••left Feb 8, 2022, registered Mar 3, 2022 (23 days) · RIA to affiliated broker-dealer or bank
- N••••••••• I••••••••• A•••••••• L•• to P••••••• C•••••• A••••••• C•••••••••left Nov 1, 2021, registered Oct 26, 2021 (-6 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- P•• W••••• M••••••••• to N••••••••• I••••••••• A•••••••• L••left May 6, 2015, registered May 18, 2015 (12 days) · Other
- C•••• I••••••••• S••••••• C•••• to P•• W••••• M•••••••••left Jul 25, 2012, registered Sep 11, 2012 (48 days) · Other
- P•• W••••• M••••••••• to C•••• I••••••••• S••••••• C••••left Jan 4, 2011, registered Oct 17, 2011 (286 days) · Other
- B••••• M• M••••• left P••••••• C•••••• A••••••• C••••••••• for N••••••••• I••••••••• A•••••••• L•• (registered 2022-03-03)Feb 8, 2022 · 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
- 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