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.
S••••• R••••••• J•••
- L•• F•••••••• L•• BD affiliated currentsince Jul 3, 2012 · Cincinnati, Oh
- E••••• A•••• M••••••••• L•• independent RIA currentsince May 26, 2011 · Cincinnati, Oh
- M••••• K••••• • C••••••• L•• formerJan 6, 2004 to Sep 19, 2011 · Covington, Ky
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 17, 2000 to Aug 21, 2003 · Cincinnati, Oh
- M••••• K••••• • C••••••• L•• to E••••• A•••• M••••••••• L••left Sep 19, 2011, registered May 26, 2011 (-116 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• K••••• • C••••••• L••left Aug 21, 2003, registered Jan 6, 2004 (138 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address