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.
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R••••• P••• W•••••
- H•••••• T••••••• • K•••• L•• independent RIA currentsince May 20, 2024 · Cincinnati, Oh
- P••• A••••• S••••••••• L•• BD affiliatedSep 22, 2022 to May 21, 2024 · Cincinnati, Oh
- H•••••• T••••••• • K•••• L•• independent RIAApr 12, 2013 to Sep 19, 2022 · Cincinnati, Oh
- L•• F•••••••• L•• BD affiliatedJan 17, 2013 to Mar 20, 2013 · Cincinnati, Oh
- O•• G••••• L•• formerFeb 22, 2010 to Jan 2, 2013 · Cincinnati, Oh
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedSep 5, 2006 to Dec 4, 2009 · Cincinnati, Oh
- O•••• F•• I••• formerApr 19, 2000 to May 12, 2003 · Covington, Ky
- P••• A••••• S••••••••• L•• to H•••••• T••••••• • K•••• L••left May 21, 2024, registered May 20, 2024 (-1 days) · Affiliated broker-dealer or bank to another
- H•••••• T••••••• • K•••• L•• to P••• A••••• S••••••••• L••left Sep 19, 2022, registered Sep 22, 2022 (3 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to H•••••• T••••••• • K•••• L••left Mar 20, 2013, registered Apr 12, 2013 (23 days) · Other
- O•• G••••• L•• to L•• F•••••••• L••left Jan 2, 2013, registered Jan 17, 2013 (15 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to O•• G••••• L••left Dec 4, 2009, registered Feb 22, 2010 (80 days) · Other
- O•••• F•• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 12, 2003, registered Sep 5, 2006 (1212 days) · Other
- R••••• P••• W••••• left P••• A••••• S••••••••• L•• for H•••••• T••••••• • K•••• L•• (registered 2024-05-20)May 21, 2024 · Advisor changed firm · fact
- R••••• P••• W••••• left H•••••• T••••••• • K•••• L•• for P••• A••••• S••••••••• L•• (registered 2022-09-22)Sep 19, 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address