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.
R••••• C• B•••
- U••••• A•••••• G•••• independent RIA currentsince Mar 1, 2023 · Cincinnati, Oh
- T••••••• S••••••• A••••••• BD affiliatedNov 24, 2020 to Mar 7, 2023 · Indianapolis, In
- T••••••• S••••••• F•••••••• formerMay 31, 2017 to Jul 6, 2021 · Cincinnati, Oh
- S••••• A••••••• I••• BD affiliatedJan 30, 2015 to Jun 7, 2017 · Birmingham, Al
- S••••• A••• I••••••••• A•••••• S•••••••• I••• formerAug 31, 2006 to Jan 30, 2015 · Cincinnati, Oh
- W••••••• F•••••••• S•••••••• I••• formerOct 29, 2003 to Sep 12, 2006 · Cincinnati, Oh
- T••••••• S••••••• A••••••• to U••••• A•••••• G••••left Mar 7, 2023, registered Mar 1, 2023 (-6 days) · Affiliated broker-dealer or bank to a newly registered adviser
- T••••••• S••••••• F•••••••• to T••••••• S••••••• A•••••••left Jul 6, 2021, registered Nov 24, 2020 (-224 days) · Affiliated broker-dealer or bank to another · moved with a team
- S••••• A••••••• I••• to T••••••• S••••••• F••••••••left Jun 7, 2017, registered May 31, 2017 (-7 days) · Other · moved with a team
- S••••• A••• I••••••••• A•••••• S•••••••• I••• to S••••• A••••••• I•••left Jan 30, 2015, registered Jan 30, 2015 (0 days) · corporate re-registration, not a move
- W••••••• F•••••••• S•••••••• I••• to S••••• A••• I••••••••• A•••••• S•••••••• I•••left Sep 12, 2006, registered Aug 31, 2006 (-12 days) · Other
- R••••• C• B••• left T••••••• S••••••• A••••••• for U••••• A•••••• G•••• (registered 2023-03-01)Mar 7, 2023 · a•••••• firm change · 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address