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.
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- L••••••• A•••••••• L•• independent RIA currentsince Nov 3, 2023 · Florence, Ky
- O••••••••• S••••••••• I••• BD affiliatedMar 9, 2018 to Jul 31, 2018 · Florence, Ky
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 1, 2015 to Dec 31, 2017 · Cincinnati, Oh
- L••••••• A•••••••• L•• independent RIAJan 6, 2010 to May 20, 2015 · Florence, In
- M•••••••• A••••••• S•••••••• L•• unclassifiedApr 13, 2006 to Dec 31, 2009 · Hebron, Ky
- E•••••••• A•••••••• L•• national BDJan 24, 2003 to Apr 13, 2006 · Cincinnati, Oh
- O••••••••• S••••••••• I••• to L••••••• A•••••••• L••left Jul 31, 2018, registered Nov 3, 2023 (1921 days) · Affiliated broker-dealer or bank to independent RIA
- M•• I•••••••• S•••••••• L•• to O••••••••• S••••••••• I•••left Dec 31, 2017, registered Mar 9, 2018 (68 days) · Other
- L••••••• A•••••••• L•• to M•• I•••••••• S•••••••• L••left May 20, 2015, registered Jul 1, 2015 (42 days) · Other
- M•••••••• A••••••• S•••••••• L•• to L••••••• A•••••••• L••left Dec 31, 2009, registered Jan 6, 2010 (6 days) · Other
- E•••••••• A•••••••• L•• to M•••••••• A••••••• S•••••••• L••left Apr 13, 2006, registered Apr 13, 2006 (0 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address