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••• L• L•••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Feb 14, 2022 · Cincinnati, Oh
- P•• W••••• M••••••••• BD affiliatedOct 5, 2015 to Feb 15, 2022 · C•••••••••, Oh
- C•••••• A••••••• BD affiliatedJun 5, 2012 to Dec 26, 2014 · Cleveland, Oh
- L•••••• I••••••••• independent RIAJun 1, 2012 to Dec 26, 2014 · C•••••••••, Oh
- C••••••••• A•••••••• I•• formerJul 3, 2008 to Jun 1, 2012 · C•••••••••, Oh
- N•••••• I••••••••• I••• unclassifiedOct 26, 2006 to Jun 30, 2008 · Columbus, Oh
- F•••• H•••••• A•••••••• I•• formerMar 12, 2004 to Jun 3, 2005 · Memphis, Tn
- P•• W••••• M••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Feb 15, 2022, registered Feb 14, 2022 (-1 days) · Affiliated broker-dealer or bank to another
- C•••••• A••••••• to P•• W••••• M•••••••••left Dec 26, 2014, registered Oct 5, 2015 (283 days) · Other
- L•••••• I••••••••• to C•••••• A•••••••left Dec 26, 2014, registered Jun 5, 2012 (-934 days) · Other
- C••••••••• A•••••••• I•• to L•••••• I•••••••••left Jun 1, 2012, registered Jun 1, 2012 (0 days) · corporate re-registration, not a move
- N•••••• I••••••••• I••• to C••••••••• A•••••••• I••left Jun 30, 2008, registered Jul 3, 2008 (3 days) · Other
- F•••• H•••••• A•••••••• I•• to N•••••• I••••••••• I•••left Jun 3, 2005, registered Oct 26, 2006 (510 days) · Other
- M••• L• L••••••• left P•• W••••• M••••••••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2022-02-14)Feb 15, 2022 · 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address