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.
B•••••••• S••••••
- P•• W••••• M••••••••• BD affiliated currentsince Nov 26, 2024 · Pittsburgh, Pa
- W••••••• C••••••••• independent RIAJul 25, 2024 to Sep 19, 2024 · Louisville, Ky
- P•••• S••••••••• L•• no RAUMSep 6, 2023 to Feb 16, 2024 · Louisville, Ky
- W••••••• C••••••••• to P•• W••••• M•••••••••left Sep 19, 2024, registered Nov 26, 2024 (68 days) · RIA to affiliated broker-dealer or bank
- P•••• S••••••••• L•• to W••••••• C•••••••••left Feb 16, 2024, registered Jul 25, 2024 (160 days) · Affiliated broker-dealer or bank to independent RIA
- B•••••••• S•••••• left W••••••• C••••••••• for P•• W••••• M••••••••• (registered 2024-11-26)Sep 19, 2024 · Advisor changed firm · fact
- B•••••••• S•••••• left P•••• S••••••••• L•• for W••••••• C••••••••• (registered 2024-07-25)Feb 16, 2024 · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address