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•••• S•••••
- E••••• J•••• national BD currentsince Sep 15, 2016 · Princeton, Ky
- O• I••••••••• M••••••••• C• BD affiliatedJul 1, 2016 to Sep 15, 2016 · Paducah, Ky
- A••••••• A••••••• S••••••• formerApr 1, 2016 to Jun 7, 2016 · Lincoln, Ne
- M•• I•••••••• S•••••••• L•• BD affiliatedOct 16, 2015 to Mar 23, 2016 · Hazel, Ky
- O• I••••••••• M••••••••• C• to E••••• J••••left Sep 15, 2016, registered Sep 15, 2016 (0 days) · Other
- A••••••• A••••••• S••••••• to O• I••••••••• M••••••••• C•left Jun 7, 2016, registered Jul 1, 2016 (24 days) · Other
- M•• I•••••••• S•••••••• L•• to A••••••• A••••••• S•••••••left Mar 23, 2016, registered Apr 1, 2016 (9 days) · Other
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address