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.
R•• E•••• M•••••••
- K••••••• F•••••••• A••••••• L•• independent RIA currentsince Mar 29, 2022 · Lebanon, Oh
- B• R•••• W••••• A•••••••• I••• BD affiliatedSep 29, 2020 to Apr 1, 2022 · Dayton, Oh
- U••••• A••••••• S•••••••• L•• formerJan 22, 2018 to Sep 18, 2020 · Cincinatti, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to Sep 28, 2017 · Cincinnati, Oh
- A••••••••• A•••••• S•••••••• I••• unclassifiedJun 30, 2003 to Oct 5, 2009 · Blue Ash, Oh
- B• R•••• W••••• A•••••••• I••• to K••••••• F•••••••• A••••••• L••left Apr 1, 2022, registered Mar 29, 2022 (-3 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- U••••• A••••••• S•••••••• L•• to B• R•••• W••••• A•••••••• I•••left Sep 18, 2020, registered Sep 29, 2020 (11 days) · RIA to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to U••••• A••••••• S•••••••• L••left Sep 28, 2017, registered Jan 22, 2018 (116 days) · Other
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- R•• E•••• M••••••• left B• R•••• W••••• A•••••••• I••• for K••••••• F•••••••• A••••••• L•• (registered 2022-03-29)Apr 1, 2022 · a•••••• firm change · 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address