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.
E••• T••••• S••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Mar 27, 2023 · Miamisburg, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedJun 22, 2012 to Mar 27, 2023 · Dayton, Oh
- K•• I••••••••• S••••••• L•• BD affiliatedMar 4, 2008 to Jun 11, 2012 · Indianapolis, In
- K•••••••• W••••• A••••••• independent RIAFeb 1, 2007 to Mar 4, 2008 · Springsboro, Oh
- E•••••••• A•••••••• L•• national BDMar 10, 2006 to Jan 25, 2007 · Centerville, Oh
- N•••••• I••••••••• I••• unclassifiedAug 24, 2005 to Nov 11, 2005 · Dayton, Oh
- F•••• T•••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 27, 2023, registered Mar 27, 2023 (0 days) · Affiliated broker-dealer or bank to wirehouse
- K•• I••••••••• S••••••• L•• to F•••• T•••• S••••••••• I•••left Jun 11, 2012, registered Jun 22, 2012 (11 days) · Other
- K•••••••• W••••• A••••••• to K•• I••••••••• S••••••• L••left Mar 4, 2008, registered Mar 4, 2008 (0 days) · Other
- E•••••••• A•••••••• L•• to K•••••••• W••••• A•••••••left Jan 25, 2007, registered Feb 1, 2007 (7 days) · Affiliated broker-dealer or bank to independent RIA
- N•••••• I••••••••• I••• to E•••••••• A•••••••• L••left Nov 11, 2005, registered Mar 10, 2006 (119 days) · Other
- E••• T••••• S•••••• left F•••• T•••• S••••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-03-27)Mar 27, 2023 · Advisor changed firm · fact
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address