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.
P•••••• W•••••• H•••••••
- R••••••••• P••• A•••••••• L•• mixed wealth currentsince Jun 1, 2022 · Chicago, Il
- A••••••• F•••••••• A•••••••• L•• BD affiliatedJul 15, 2016 to Jun 1, 2022 · Cincinnati, Oh
- P•• W••••• M••••••••• BD affiliatedJun 29, 2015 to Jun 21, 2016 · Cincinnati, Oh
- S••••••• I••••••••• I••• formerFeb 15, 2013 to Jan 24, 2014 · Florence, Ky
- C••••• I••••••••• A••••••• L•• BD affiliatedApr 20, 2011 to Oct 24, 2012 · Cincinnati, Oh
- A••••••• F•••••••• A•••••••• L•• to R••••••••• P••• A•••••••• L••left Jun 1, 2022, registered Jun 1, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA
- P•• W••••• M••••••••• to A••••••• F•••••••• A•••••••• L••left Jun 21, 2016, registered Jul 15, 2016 (24 days) · Other
- S••••••• I••••••••• I••• to P•• W••••• M•••••••••left Jan 24, 2014, registered Jun 29, 2015 (521 days) · Other
- C••••• I••••••••• A••••••• L•• to S••••••• I••••••••• I•••left Oct 24, 2012, registered Feb 15, 2013 (114 days) · Other
- P•••••• W•••••• H••••••• left A••••••• F•••••••• A•••••••• L•• for R••••••••• P••• A•••••••• L•• (registered 2022-06-01)Jun 1, 2022 · 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address