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•••••• J••••• T••••
- L•• F•••••••• L•• BD affiliated currentsince May 19, 2021 · Crestview Hills, Ky
- H••••••••• F•••••••• A••••••• BD affiliatedOct 15, 2014 to May 19, 2021 · Ft. Mitchell, Ky
- F•••• T•••• S••••••••• I••• BD affiliatedDec 19, 2008 to Sep 29, 2014 · Cincinnati, Oh
- N•••••• I••••••••• I••• unclassifiedJan 3, 2008 to Dec 8, 2008 · Cincinnati, Oh
- H••••••••• F•••••••• A••••••• to L•• F•••••••• L••left May 19, 2021, registered May 19, 2021 (0 days) · Affiliated broker-dealer or bank to another
- F•••• T•••• S••••••••• I••• to H••••••••• F•••••••• A•••••••left Sep 29, 2014, registered Oct 15, 2014 (16 days) · Other
- N•••••• I••••••••• I••• to F•••• T•••• S••••••••• I•••left Dec 8, 2008, registered Dec 19, 2008 (11 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address