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.
S••••• J••••• S•••••
- R•• A•••••••• L•• independent RIA currentsince May 19, 2021 · Loveland, Oh
- M••••• S•••••• wirehouseJan 20, 2017 to May 5, 2021 · Cincinnati, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 22, 2005 to Jan 25, 2017 · Cincinnati, Oh
- T•• R••••••••• C••••••••• O• A•••••• formerMar 30, 2000 to Apr 4, 2006 · Cincinnati, Oh
- M••••• S•••••• to R•• A•••••••• L••left May 5, 2021, registered May 19, 2021 (14 days) · Wirehouse to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jan 25, 2017, registered Jan 20, 2017 (-5 days) · Wirehouse to wirehouse · moved with a team
- T•• R••••••••• C••••••••• O• A•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 4, 2006, registered Jun 22, 2005 (-286 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
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address