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.
M••• H•••••• S•••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 26, 2020 · Centerville, Oh
- D•••• B••••• A••••••• L•• formerMay 31, 2011 to Sep 3, 2020 · Cincinatti, Oh
- S••••••• I••••••••• I••• formerMar 17, 2010 to Jan 4, 2011 · Cincinnati, Oh
- D•••• B••••• A••••••• L•• to L•• F•••••••• L••left Sep 3, 2020, registered Aug 26, 2020 (-8 days) · Other · moved with a team
- S••••••• I••••••••• I••• to D•••• B••••• A••••••• L••left Jan 4, 2011, registered May 31, 2011 (147 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address