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.
R••••• L•• S•••••••••
- A••••••• F••••••••• L••• BD affiliated currentsince Jun 1, 2020 · Folsom, Ca
- C••••••••• F•••••••• N•••••• national BDJan 17, 2012 to Jun 1, 2020 · Cincinnati, Oh
- L•• F•••••••• L•• BD affiliatedJun 3, 2003 to Feb 3, 2012 · Cincinnati, Oh
- O•••• F•• I••• formerJan 1, 2000 to Jun 5, 2003 · Covington, Ky
- C••••••••• F•••••••• N•••••• to A••••••• F••••••••• L•••left Jun 1, 2020, registered Jun 1, 2020 (0 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to C••••••••• F•••••••• N••••••left Feb 3, 2012, registered Jan 17, 2012 (-17 days) · Other
- O•••• F•• I••• to L•• F•••••••• L••left Jun 5, 2003, registered Jun 3, 2003 (-2 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