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••••• S•••••• wirehouse currentsince Jun 16, 2022 · Louisville, Ky
- P•• W••••• M••••••••• BD affiliatedNov 22, 2013 to Jun 27, 2022 · Louisville, Ky
- B••• I••••••••• S•••••••• I••• formerNov 5, 2012 to Nov 12, 2013 · New Albany, In
- W•••• F•••• A••••••• wirehouseAug 15, 2011 to Nov 6, 2012 · Louisville, Ky
- P•• W••••• M••••••••• to M••••• S••••••left Jun 27, 2022, registered Jun 16, 2022 (-11 days) · Affiliated broker-dealer or bank to wirehouse
- B••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••left Nov 12, 2013, registered Nov 22, 2013 (10 days) · Other
- W•••• F•••• A••••••• to B••• I••••••••• S•••••••• I•••left Nov 6, 2012, registered Nov 5, 2012 (-1 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B•••• V• B•••••• left P•• W••••• M••••••••• for M••••• S•••••• (registered 2022-06-16)Jun 27, 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
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address