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.
M•••••• H••••• R•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 27, 2020 · Centerville, Oh
- D•••• B••••• A••••••• L•• formerJun 8, 2011 to Sep 3, 2020 · Cincinnati, Oh
- T•••• A•••••••• L•• formerMar 8, 2011 to Mar 9, 2011 · Cincinnati, Oh
- S••••••• I••••••••• I••• formerOct 2, 2008 to Mar 8, 2011 · Dayton, Oh
- D•••• B••••• A••••••• L•• to L•• F•••••••• L••left Sep 3, 2020, registered Aug 27, 2020 (-7 days) · Other · moved with a team
- T•••• A•••••••• L•• to D•••• B••••• A••••••• L••left Mar 9, 2011, registered Jun 8, 2011 (91 days) · Other
- S••••••• I••••••••• I••• to T•••• A•••••••• L••left Mar 8, 2011, registered Mar 8, 2011 (0 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address