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.
D•••• L• B•••••
- E•••••• F•••••••• E•••••• independent RIA currentsince Dec 9, 2022 · Dayton, Oh
- C••• F•••••••• S•••••••• L••• formerOct 22, 2021 to Dec 1, 2022 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedJul 13, 2020 to Oct 22, 2021 · Liberty Township, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedMar 14, 2018 to Jul 9, 2020 · Lebanon, Oh
- S•••••••• I••••••••• M••••••••• formerOct 5, 2016 to Mar 9, 2018 · Saint Louis, Mo
- P•• W••••• M••••••••• BD affiliatedAug 10, 2012 to Nov 19, 2014 · Cincinnati, Oh
- C••• F•••••••• S•••••••• L••• to E•••••• F•••••••• E••••••left Dec 1, 2022, registered Dec 9, 2022 (8 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••left Oct 22, 2021, registered Oct 22, 2021 (0 days) · Affiliated broker-dealer or bank to another
- F•••• T•••• S••••••••• I••• to L•• F•••••••• L••left Jul 9, 2020, registered Jul 13, 2020 (4 days) · Affiliated broker-dealer or bank to another
- S•••••••• I••••••••• M••••••••• to F•••• T•••• S••••••••• I•••left Mar 9, 2018, registered Mar 14, 2018 (5 days) · Affiliated broker-dealer or bank to another · moved with a team
- P•• W••••• M••••••••• to S•••••••• I••••••••• M•••••••••left Nov 19, 2014, registered Oct 5, 2016 (686 days) · Other
- D•••• L• B••••• left C••• F•••••••• S•••••••• L••• for E•••••• F•••••••• E•••••• (registered 2022-12-09)Dec 1, 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address