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.
K••• Z••••••••
- P•• W••••• M••••••••• BD affiliated currentsince May 24, 2023 · Cincinnati, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedJan 10, 2022 to May 18, 2023 · Cincinnati, Oh
- W•••• F•••• A••••••• wirehouseAug 16, 2018 to May 10, 2021 · Chicago, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 16, 2014 to Sep 12, 2018 · Chicago, Il
- P•• W••••• M••••••••• BD affiliatedFeb 23, 2007 to Jun 6, 2014 · Louisville, Ky
- K•• I••••••••• S••••••• L•• BD affiliatedApr 18, 2006 to Feb 9, 2007 · Indianapolis, In
- N•• E•••••• S••••••••• C••••••••• formerJan 29, 2004 to Feb 18, 2005 · Cincinnati, Oh
- F•••• T•••• S••••••••• I••• to P•• W••••• M•••••••••left May 18, 2023, registered May 24, 2023 (6 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to F•••• T•••• S••••••••• I•••left May 10, 2021, registered Jan 10, 2022 (245 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Sep 12, 2018, registered Aug 16, 2018 (-27 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- P•• W••••• M••••••••• to C•••••••• G••••• M•••••• I•••left Jun 6, 2014, registered Jul 16, 2014 (40 days) · Other
- K•• I••••••••• S••••••• L•• to P•• W••••• M•••••••••left Feb 9, 2007, registered Feb 23, 2007 (14 days) · Other
- N•• E•••••• S••••••••• C••••••••• to K•• I••••••••• S••••••• L••left Feb 18, 2005, registered Apr 18, 2006 (424 days) · Other
- K••• Z•••••••• left F•••• T•••• S••••••••• I••• for P•• W••••• M••••••••• (registered 2023-05-24)May 18, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address