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••••• S•••••• wirehouse currentsince Dec 11, 2020 · Indianapolis, In
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 16, 2011 to Dec 14, 2020 · Cincinnati, Oh
- N••••••••• M••••• I••••••••• S••••••••• no RAUMDec 22, 2010 to Mar 2, 2011 · Cincinnati, Oh
- J••••• H•••••••• W••• L••••• L•• formerApr 6, 2010 to Oct 19, 2010 · Cincinnati, Oh
- M• H••••••• S••••••••• I••• BD affiliatedJul 3, 2008 to Feb 10, 2009 · Covington, Ky
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Dec 14, 2020, registered Dec 11, 2020 (-3 days) · Wirehouse to wirehouse · moved with a team
- N••••••••• M••••• I••••••••• S••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 2, 2011, registered Mar 16, 2011 (14 days) · Other
- J••••• H•••••••• W••• L••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Oct 19, 2010, registered Dec 22, 2010 (64 days) · Other
- M• H••••••• S••••••••• I••• to J••••• H•••••••• W••• L••••• L••left Feb 10, 2009, registered Apr 6, 2010 (420 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address