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.
M••• L••• B•••••
- R•• C•••••• M••••••• L•• national BD currentsince Aug 22, 2024 · Union, Ky
- M••••• S•••••• wirehouseJan 24, 2019 to Aug 27, 2024 · Cincinnati, Oh
- E•••••• A••••••• G••••• L•• BD affiliatedOct 31, 2018 to Jan 24, 2019 · Union, Ky
- B••• S••••••••• L•• formerJan 2, 2018 to Oct 10, 2018 · Crestview Hills, Ky
- B••• I••••••••• S•••••••• I••• formerSep 9, 2016 to Jan 2, 2018 · Crestview Hills, Ky
- P•• W••••• M••••••••• BD affiliatedOct 30, 2013 to Aug 23, 2016 · Florence, Ky
- K•• I••••••••• S••••••• L•• BD affiliatedJan 18, 2006 to May 6, 2011 · Dayton, Oh
- K•••••• C•••••• M•••••• I••• unclassifiedApr 8, 2003 to Jan 18, 2006 · Florence, Ky
- M••••• S•••••• to R•• C•••••• M••••••• L••left Aug 27, 2024, registered Aug 22, 2024 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- E•••••• A••••••• G••••• L•• to M••••• S••••••left Jan 24, 2019, registered Jan 24, 2019 (0 days) · Other
- B••• S••••••••• L•• to E•••••• A••••••• G••••• L••left Oct 10, 2018, registered Oct 31, 2018 (21 days) · Other
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to B••• I••••••••• S•••••••• I•••left Aug 23, 2016, registered Sep 9, 2016 (17 days) · Other
- K•• I••••••••• S••••••• L•• to P•• W••••• M•••••••••left May 6, 2011, registered Oct 30, 2013 (908 days) · Other
- K•••••• C•••••• M•••••• I••• to K•• I••••••••• S••••••• L••left Jan 18, 2006, registered Jan 18, 2006 (0 days) · Other
- M••• L••• B••••• left M••••• S•••••• for R•• C•••••• M••••••• L•• (registered 2024-08-22)Aug 27, 2024 · 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address