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.
L•••• A••• J••••••
- R•• C•••••• M••••••• L•• national BD currentsince Jul 14, 2021 · Conshohocken, Pa
- S•••••••• W••••• I••••••••• G••••• L•• independent RIADec 23, 2020 to Jul 26, 2021 · Loveland, Oh
- R•••••• J•••• • A••••••••• I••• national BDMay 12, 2020 to Dec 23, 2020 · St. Petersburg, Fl
- U••• B•••••• I••••••••• I••• formerJun 10, 2011 to Feb 26, 2020 · Cincinnati, Oh
- U•• F•••••••• S••••••• I••• wirehouseOct 20, 2006 to Jun 8, 2011 · Cincinnati, Oh
- G•••• A••••••• A•••••••• I••• formerJul 7, 2005 to Mar 13, 2006 · Cincinnati, Oh
- T• A••••••••• I••• formerApr 20, 2004 to Jul 7, 2005 · Cincinnati, Oh
- S•••••••• W••••• I••••••••• G••••• L•• to R•• C•••••• M••••••• L••left Jul 26, 2021, registered Jul 14, 2021 (-12 days) · RIA to affiliated broker-dealer or bank
- R•••••• J•••• • A••••••••• I••• to S•••••••• W••••• I••••••••• G••••• L••left Dec 23, 2020, registered Dec 23, 2020 (0 days) · Affiliated broker-dealer or bank to independent RIA
- U••• B•••••• I••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Feb 26, 2020, registered May 12, 2020 (76 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to U••• B•••••• I••••••••• I•••left Jun 8, 2011, registered Jun 10, 2011 (2 days) · Other
- G•••• A••••••• A•••••••• I••• to U•• F•••••••• S••••••• I•••left Mar 13, 2006, registered Oct 20, 2006 (221 days) · Other
- T• A••••••••• I••• to G•••• A••••••• A•••••••• I•••left Jul 7, 2005, registered Jul 7, 2005 (0 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address