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•••••• W• L••••••
- C••••••• P•••••••• I••• independent RIA currentsince May 18, 2023 · Dayton, Oh
- O•• R••••••• G•••• P•••••• A•••••• G•••• formerDec 13, 2019 to Jun 1, 2020 · Roanoke, In
- C••••• A•••••• N••••••• L•• formerMar 28, 2019 to Dec 5, 2019 · Moraine, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 8, 2009 to Mar 29, 2019 · Miamisburg, Oh
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 18, 2009 · Dayton, Oh
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 18, 2002 to Jun 1, 2009 · Dayton, Oh
- O•• R••••••• G•••• P•••••• A•••••• G•••• to C••••••• P•••••••• I•••left Jun 1, 2020, registered May 18, 2023 (1081 days) · RIA to RIA
- C••••• A•••••• N••••••• L•• to O•• R••••••• G•••• P•••••• A•••••• G••••left Dec 5, 2019, registered Dec 13, 2019 (8 days) · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• A•••••• N••••••• L••left Mar 29, 2019, registered Mar 28, 2019 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 18, 2009, registered Sep 8, 2009 (-10 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address