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.
G••• M•• M•••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Dec 15, 2009 · Cincinnati, Oh
- R•••••• J•••• • A••••••••• I••• national BDJun 14, 2006 to Dec 16, 2009 · Greenwood, In
- M••••• K••••• • C••••••• L•• formerOct 13, 2005 to May 2, 2006 · Maysville, Ky
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 16, 2009, registered Dec 15, 2009 (-1 days) · Other
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left May 2, 2006, registered Jun 14, 2006 (43 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address