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•••••• W•••••• H••••
- H••••• M••• I••••••••• I••• no RAUM currentsince Jun 9, 2017 · Springfield, Il
- L•• F•••••••• L•• BD affiliatedSep 16, 2014 to Dec 26, 2014 · West Chester, Oh
- I••••••••• A••••••• I••••••••• I••• unclassifiedOct 19, 2010 to Dec 3, 2010 · Cincinnati, Oh
- L•• F•••••••• L•• BD affiliatedApr 24, 2008 to Jun 2, 2008 · Cincinnati, Oh
- O•••• F•• I••• formerJul 24, 2006 to Apr 7, 2008 · Cincinnati, Oh
- L•• F•••••••• L•• to H••••• M••• I••••••••• I•••left Dec 26, 2014, registered Jun 9, 2017 (896 days) · Other
- I••••••••• A••••••• I••••••••• I••• to L•• F•••••••• L••left Dec 3, 2010, registered Sep 16, 2014 (1383 days) · Other
- L•• F•••••••• L•• to I••••••••• A••••••• I••••••••• I•••left Jun 2, 2008, registered Oct 19, 2010 (869 days) · Other
- O•••• F•• I••• to L•• F•••••••• L••left Apr 7, 2008, registered Apr 24, 2008 (17 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
- No RAUM reportedderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address