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.
M•••••• M•••• B••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Aug 30, 2021 · Cincinnati, Oh
- O•••• W•••••• I••• BD affiliatedNov 2, 2018 to Feb 19, 2021 · Scottsdale, Az
- S••••••• I••••••••• I••• formerMay 13, 2016 to Nov 2, 2018 · St. Petersburg, Fl
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedFeb 20, 2015 to May 13, 2016 · Cincinnati, Oh
- P•• W••••• M••••••••• BD affiliatedDec 14, 2011 to Jan 30, 2015 · Cincinnati, Oh
- G•••• A••••••• A•••••••• I••• formerMar 1, 2006 to Dec 9, 2011 · Cincinnati, Oh
- O•••• W•••••• I••• to U•• F•••••••• S••••••• I•••left Feb 19, 2021, registered Aug 30, 2021 (192 days) · Affiliated broker-dealer or bank to wirehouse
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- T••••••••• F•••••••• A•••••••• L•• to S••••••• I••••••••• I•••left May 13, 2016, registered May 13, 2016 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to T••••••••• F•••••••• A•••••••• L••left Jan 30, 2015, registered Feb 20, 2015 (21 days) · Other
- G•••• A••••••• A•••••••• I••• to P•• W••••• M•••••••••left Dec 9, 2011, registered Dec 14, 2011 (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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address