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.
W•••••• S•••• B•••••
- P•• W••••• M••••••••• BD affiliated currentsince Jul 23, 2012 · Centerville, Oh
- U••• B•••••• I••••••••• I••• formerMay 11, 2011 to Jul 5, 2012 · Cincinnati, Oh
- K•• I••••••••• S••••••• L•• BD affiliatedMar 31, 2009 to May 2, 2011 · Dayton, Oh
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 29, 2006 to Mar 26, 2009 · Centerville, Oh
- U••• B•••••• I••••••••• I••• to P•• W••••• M•••••••••left Jul 5, 2012, registered Jul 23, 2012 (18 days) · Other
- K•• I••••••••• S••••••• L•• to U••• B•••••• I••••••••• I•••left May 2, 2011, registered May 11, 2011 (9 days) · Other
- C•••••••• G••••• M•••••• I••• to K•• I••••••••• S••••••• L••left Mar 26, 2009, registered Mar 31, 2009 (5 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address