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.
A••••• P••• T•••••
- E•••••• F•••••••• E•••••• independent RIA currentsince Jul 21, 2022 · Louisville, Ky
- U••• B•••••• I••••••••• I••• formerJul 30, 2019 to Jun 28, 2022 · Louisville, Ky
- J••• M••••• S••••••••• L•• wirehouseMay 20, 2016 to Jun 27, 2019 · Jeffersonville, In
- P•• W••••• M••••••••• BD affiliatedAug 27, 2014 to Jul 29, 2015 · Louisville, Ky
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 24, 2012 to Aug 12, 2014 · Louisville, Ky
- U••• B•••••• I••••••••• I••• to E•••••• F•••••••• E••••••left Jun 28, 2022, registered Jul 21, 2022 (23 days) · Affiliated broker-dealer or bank to independent RIA
- J••• M••••• S••••••••• L•• to U••• B•••••• I••••••••• I•••left Jun 27, 2019, registered Jul 30, 2019 (33 days) · Wirehouse to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to J••• M••••• S••••••••• L••left Jul 29, 2015, registered May 20, 2016 (296 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left Aug 12, 2014, registered Aug 27, 2014 (15 days) · Other
- A••••• P••• T••••• left U••• B•••••• I••••••••• I••• for E•••••• F•••••••• E•••••• (registered 2022-07-21)Jun 28, 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
- Independent wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address