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.
J•••• R••••• L••••
- M•••••• W••••• M••••••••• L•• state registered currentsince Jun 3, 2022 · Cincinnati, Oh
- R••••• I••••••••• A•••••••• I•• BD affiliatedSep 25, 2018 to Mar 17, 2022 · Cincinnati, Oh
- R••••• I••••••••• A•••••••• I•• BD affiliatedAug 2, 2011 to Jul 10, 2018 · Wilmington, De
- T•• C•••••• A••••••• G••••• L•• unclassifiedMay 13, 2011 to Jul 21, 2011 · Cincinnati, Oh
- P•• I••••••••• A••••••• S•••••••• I••• mixed wealthMar 29, 2010 to Jan 18, 2011 · Cincinnati, Oh
- B••••• • Y•••• A•••••••• I••• formerApr 24, 2002 to Dec 15, 2005 · Cincinnati, Oh
- R••••• I••••••••• A•••••••• I•• to M•••••• W••••• M••••••••• L••left Mar 17, 2022, registered Jun 3, 2022 (78 days) · Affiliated broker-dealer or bank to a state-registered adviser
- T•• C•••••• A••••••• G••••• L•• to R••••• I••••••••• A•••••••• I••left Jul 21, 2011, registered Aug 2, 2011 (12 days) · Other
- P•• I••••••••• A••••••• S•••••••• I••• to T•• C•••••• A••••••• G••••• L••left Jan 18, 2011, registered May 13, 2011 (115 days) · Other
- B••••• • Y•••• A•••••••• I••• to P•• I••••••••• A••••••• S•••••••• I•••left Dec 15, 2005, registered Mar 29, 2010 (1565 days) · Other
- J•••• R••••• L•••• left R••••• I••••••••• A•••••••• I•• for M•••••• W••••• M••••••••• L•• (registered 2022-06-03)Mar 17, 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
- STATE REGISTEREDderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address