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.
N••••• D••••••
- K••••• A•••••••• I••• BD affiliated currentsince Nov 10, 2020 · Ft. Lauderdale, Fl
- V••••••••• A••••••• S••••••• BD affiliatedJan 3, 2020 to Oct 12, 2020 · Woodbury, Ny
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedOct 19, 2018 to Dec 6, 2019 · Franklin, Tn
- V•••• F•••••••• A•••••••• I••• BD affiliatedSep 25, 2018 to Sep 26, 2018 · Brentwood, Tn
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedFeb 18, 2015 to Oct 10, 2018 · Erlanger, Ky
- L•• F•••••••• L•• BD affiliatedJan 9, 2012 to Feb 23, 2015 · Canton, Oh
- S•••••• W••••• P•••••••• L•• BD affiliatedSep 30, 2010 to Dec 8, 2011 · Dublin, Oh
- L•• F•••••••• L•• BD affiliatedMay 2, 2005 to Dec 7, 2011 · Cincinatti, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedFeb 14, 2005 to May 18, 2005 · Cincinnati, Oh
- V••••••••• A••••••• S••••••• to K••••• A•••••••• I•••left Oct 12, 2020, registered Nov 10, 2020 (29 days) · Affiliated broker-dealer or bank to another
- C•••••••• I••••••••• R••••••• A•••••••• I••• to V••••••••• A••••••• S•••••••left Dec 6, 2019, registered Jan 3, 2020 (28 days) · Affiliated broker-dealer or bank to another
- C•••••••• I••••••••• R••••••• A•••••••• I••• to V•••• F•••••••• A•••••••• I•••left Oct 10, 2018, registered Sep 25, 2018 (-15 days) · Affiliated broker-dealer or bank to another
- V•••• F•••••••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 26, 2018, registered Oct 19, 2018 (23 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Feb 23, 2015, registered Feb 18, 2015 (-5 days) · Other
- S•••••• W••••• P•••••••• L•• to L•• F•••••••• L••left Dec 8, 2011, registered Jan 9, 2012 (32 days) · Other
- L•• F•••••••• L•• to S•••••• W••••• P•••••••• L••left Dec 7, 2011, registered Sep 30, 2010 (-433 days) · Other
- F•••• T•••• S••••••••• I••• to L•• F•••••••• L••left May 18, 2005, registered May 2, 2005 (-16 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address