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.
C•••••••• L••• L••••••
- W•••• F•••• A••••••• wirehouse currentsince Sep 2, 2022 · Columbus, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedJun 14, 2016 to Sep 10, 2022 · Cincinnati, Oh
- U••• B•••••• I••••••••• I••• formerNov 23, 2011 to Jun 8, 2016 · Cincinnati, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedNov 22, 2004 to Nov 23, 2011 · Cincinnati, Oh
- H••••••••• F•••••••• A••••••• to W•••• F•••• A•••••••left Sep 10, 2022, registered Sep 2, 2022 (-8 days) · Affiliated broker-dealer or bank to wirehouse
- U••• B•••••• I••••••••• I••• to H••••••••• F•••••••• A•••••••left Jun 8, 2016, registered Jun 14, 2016 (6 days) · Other
- F•••• T•••• S••••••••• I••• to U••• B•••••• I••••••••• I•••left Nov 23, 2011, registered Nov 23, 2011 (0 days) · Other
- C•••••••• L••• L•••••• left H••••••••• F•••••••• A••••••• for W•••• F•••• A••••••• (registered 2022-09-02)Sep 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address