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.
P•••••• E•••••• S•••••
- E••••• J•••• national BD currentsince Sep 15, 2023 · Versailles, Ky
- R•••••• J•••• • A••••••••• I••• national BDFeb 15, 2022 to Sep 20, 2023 · Lexington, Ky
- D••••• F•••••••• G••••• L•• independent RIAMay 6, 2014 to Mar 11, 2022 · Lexington, Ky
- R•••••• J•••• • A••••••••• I••• to E••••• J••••left Sep 20, 2023, registered Sep 15, 2023 (-5 days) · Affiliated broker-dealer or bank to another
- D••••• F•••••••• G••••• L•• to R•••••• J•••• • A••••••••• I•••left Mar 11, 2022, registered Feb 15, 2022 (-24 days) · RIA to affiliated broker-dealer or bank
- P•••••• E•••••• S••••• left R•••••• J•••• • A••••••••• I••• for E••••• J•••• (registered 2023-09-15)Sep 20, 2023 · Advisor changed firm · fact
- P•••••• E•••••• S••••• left D••••• F•••••••• G••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2022-02-15)Mar 11, 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address