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.
D•••• K••• H•••••••
- H••••••• W••••• A••••••• independent RIA currentsince Jul 26, 2021 · Cincinnati, Oh
- R•••••• J•••• • A••••••••• I••• national BDJun 2, 2015 to Aug 5, 2021 · Cincinnati, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 2, 2001 to Jun 2, 2015 · Cincinnati, Oh
- R•••••• J•••• • A••••••••• I••• to H••••••• W••••• A•••••••left Aug 5, 2021, registered Jul 26, 2021 (-10 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Jun 2, 2015, registered Jun 2, 2015 (0 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address