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.
S••••• A••••• S••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince May 21, 2014 · Cincinnati, Oh
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJul 11, 2013 to Mar 24, 2014 · Cincinnati, Oh
- O••••••••• • C•• I••• BD affiliatedSep 3, 2008 to Feb 21, 2012 · Cincinnati, Oh
- A••••••••• A•••••• S•••••••• I••• unclassifiedApr 20, 2007 to Sep 5, 2008 · Blue Ash, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedFeb 14, 2005 to Feb 9, 2006 · Cincinnati, Oh
- O••••••••• • C•• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 21, 2012, registered Jul 11, 2013 (506 days) · Other
- A••••••••• A•••••• S•••••••• I••• to O••••••••• • C•• I•••left Sep 5, 2008, registered Sep 3, 2008 (-2 days) · Other
- F•••• T•••• S••••••••• I••• to A••••••••• A•••••• S•••••••• I•••left Feb 9, 2006, registered Apr 20, 2007 (435 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