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.
C•••••• A• K•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Cincinnati, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 13, 2021 to Mar 31, 2025 · Covington, Ky
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 17, 2020 to Jun 29, 2021 · Cincinnati, Oh
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedFeb 28, 2020 to Aug 25, 2020 · Cincinnati, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedDec 19, 2017 to Jan 21, 2020 · Cincinnati, Oh
- S••••••• I••••••••• A•••••••• I••• otherJun 4, 2015 to Dec 8, 2017 · Cincinnati, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 29, 2021, registered Aug 13, 2021 (45 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 25, 2020, registered Sep 17, 2020 (23 days) · Affiliated broker-dealer or bank to wirehouse
- H••••••••• F•••••••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 21, 2020, registered Feb 28, 2020 (38 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• A•••••••• I••• to H••••••••• F•••••••• A•••••••left Dec 8, 2017, registered Dec 19, 2017 (11 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address