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.
J••••••• F•••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 25, 2017 · Cincinnati, Oh
- M•• F•••••••• S•••••••• I••• formerAug 15, 2014 to Mar 25, 2017 · Miamisburg, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 13, 2011 to Aug 19, 2014 · Cincinnati, Oh
- M••••• S•••••• wirehouseJul 8, 2010 to Jun 17, 2011 · Cincinnati, Oh
- R••••••••• I••••••••• M••••••••• otherOct 24, 2007 to Feb 27, 2009 · Covington, Ky
- R••••• W• B•••• • C•• I••••••••• mixed wealthDec 28, 2000 to Oct 1, 2007 · Milwaukee, Wi
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• F•••••••• S•••••••• I•••left Aug 19, 2014, registered Aug 15, 2014 (-4 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 17, 2011, registered Jul 13, 2011 (26 days) · Wirehouse to wirehouse
- R••••••••• I••••••••• M••••••••• to M••••• S••••••left Feb 27, 2009, registered Jul 8, 2010 (496 days) · Other
- R••••• W• B•••• • C•• I••••••••• to R••••••••• I••••••••• M•••••••••left Oct 1, 2007, registered Oct 24, 2007 (23 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address