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.
D•••• J••••• D•••
- D•••••• W••••• P•••••••• L•• independent RIA currentsince Jun 6, 2022 · Cincinnati, Oh
- W•••• F•••• A••••••• wirehouseAug 25, 2014 to Jun 10, 2022 · Cincinnati, Oh
- M••••• S•••••• wirehouseJun 2, 2009 to Sep 15, 2014 · Naples, Fl
- M••••• S•••••• • C•• L•• unclassifiedJun 1, 2009 to Jun 1, 2009 · Cincinnati, Oh
- U•• F•••••••• S••••••• I••• wirehouseAug 16, 1999 to Jun 3, 2009 · Cincinnati, Oh
- W•••• F•••• A••••••• to D•••••• W••••• P•••••••• L••left Jun 10, 2022, registered Jun 6, 2022 (-4 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M••••• S•••••• to W•••• F•••• A•••••••left Sep 15, 2014, registered Aug 25, 2014 (-21 days) · Wirehouse to wirehouse
- U•• F•••••••• S••••••• I••• to M••••• S•••••• • C•• L••left Jun 3, 2009, registered Jun 1, 2009 (-2 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 2, 2009 (1 days) · corporate re-registration, not a move
- D•••• J••••• D••• left W•••• F•••• A••••••• for D•••••• W••••• P•••••••• L•• (registered 2022-06-06)Jun 10, 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
- Independent wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address