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•••• C• D••••
- B••••••• • C•• W••••• M••••••••• L•• independent RIA currentsince Aug 30, 2023 · Louisville, Ky
- S•••••••• A•••••••• L•• BD affiliatedDec 10, 2021 to Aug 21, 2023 · Louisville, Ky
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 24, 2015 to Dec 13, 2021 · Louisville, Ky
- S•••••••• A•••••••• L•• to B••••••• • C•• W••••• M••••••••• L••left Aug 21, 2023, registered Aug 30, 2023 (9 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A•••••••• L••left Dec 13, 2021, registered Dec 10, 2021 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- K•••• C• D•••• left S•••••••• A•••••••• L•• for B••••••• • C•• W••••• M••••••••• L•• (registered 2023-08-30)Aug 21, 2023 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address