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.
T••••• P• W•••••
- P••• A••••• S••••••••• L•• BD affiliated currentsince May 21, 2021 · Cincinnati, Oh
- H•••••• T••••••• • K•••• L•• independent RIAApr 10, 2013 to May 7, 2021 · Cincinnati, Oh
- P••• A••••• S••••••••• L•• BD affiliatedMay 8, 2003 to Nov 16, 2012 · Cincinnati, Oh
- H•••••• T••••••• • K•••• L•• to P••• A••••• S••••••••• L••left May 7, 2021, registered May 21, 2021 (14 days) · Affiliated broker-dealer or bank to another
- P••• A••••• S••••••••• L•• to H•••••• T••••••• • K•••• L••left Nov 16, 2012, registered Apr 10, 2013 (145 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address