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.
R••••• B••••••• C•••••••
- P•••••• C••••• S•••••••• L•• BD affiliated currentsince Jun 11, 2026 · Louisville, Ky
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 10, 2020 to Jun 2, 2026 · Louisville, Ky
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••••• C••••• S•••••••• L••left Jun 2, 2026, registered Jun 11, 2026 (9 days) · Wirehouse to affiliated broker-dealer or bank
- R••••• B••••••• C••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for P•••••• C••••• S•••••••• L•• (registered 2026-06-11)Jun 2, 2026 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address