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.
B•••• E••••• M•••••
- E• F•••••••• S•••••••• L•• state registered currentsince Apr 1, 2019 · Southgate, Ky
- E••••• J•••• national BDOct 31, 2017 to Feb 1, 2019 · Florence, Ky
- R•••••• J•••• • A••••••••• I••• national BDApr 4, 2013 to Jan 13, 2014 · Blue Ash, Oh
- E••••• J•••• to E• F•••••••• S•••••••• L••left Feb 1, 2019, registered Apr 1, 2019 (59 days) · Affiliated broker-dealer or bank to a state-registered adviser
- R•••••• J•••• • A••••••••• I••• to E••••• J••••left Jan 13, 2014, registered Oct 31, 2017 (1387 days) · Affiliated broker-dealer or bank to another
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address