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••••• P••••••• D•••••
- D••••• F•••••••• G••••• L•• independent RIA currentsince Aug 3, 2010 · Lexington, Ky
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMay 21, 2010 to May 28, 2010
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJun 8, 2009 to May 19, 2010 · Lexington, Ky
- D••••• F•••••••• G••••• L•• independent RIAJun 3, 2005 to Jun 10, 2005 · Lexington, Ky
- U•• F•••••••• S••••••• I••• wirehouseSep 19, 2002 to Jul 30, 2003 · Lexington, Ky
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to D••••• F•••••••• G••••• L••left May 28, 2010, registered Aug 3, 2010 (67 days) · Other
- D••••• F•••••••• G••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 10, 2005, registered Jun 8, 2009 (1459 days) · Other
- U•• F•••••••• S••••••• I••• to D••••• F•••••••• G••••• L••left Jul 30, 2003, registered Jun 3, 2005 (674 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
- Independent wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address