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.
T••• E• O••••••
- P•• W••••• M••••••••• BD affiliated currentsince Aug 7, 2020 · Louisville, Ky
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliatedFeb 26, 2020 to Jul 27, 2020 · Orlando, Fl
- S•••••••• W••••• I••••••••• G••••• L•• independent RIAAug 9, 2018 to Feb 11, 2020 · Louisville, Ky
- I••••••••• A••••• I••••••••• M••••••••• L•• to P•• W••••• M•••••••••left Jul 27, 2020, registered Aug 7, 2020 (11 days) · Affiliated broker-dealer or bank to another
- S•••••••• W••••• I••••••••• G••••• L•• to I••••••••• A••••• I••••••••• M••••••••• L••left Feb 11, 2020, registered Feb 26, 2020 (15 days) · RIA to affiliated broker-dealer or bank
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address