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.
K•••• N••• M••••••
- C•••••• S••••• • C••• I••• national BD currentsince Aug 19, 2022 · Clarksville, In
- S•••••• A••••••• P•••••••• L•• formerSep 19, 2014 to Oct 30, 2020 · Louisville, Ky
- M••••• S•••••• wirehouseMay 1, 2012 to Sep 30, 2014 · Louisville, Ky
- S•••••• A••••••• P•••••••• L•• to C•••••• S••••• • C••• I•••left Oct 30, 2020, registered Aug 19, 2022 (658 days) · RIA to affiliated broker-dealer or bank
- M••••• S•••••• to S•••••• A••••••• P•••••••• L••left Sep 30, 2014, registered Sep 19, 2014 (-11 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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