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.
A•• R• B•••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Sep 13, 2016 · Bethesda, Md
- S••••• M•••• A••••••• formerDec 12, 2014 to Aug 26, 2016 · Cincinnati, Oh
- U•• F•••••••• S••••••• I••• wirehouseOct 30, 2007 to Dec 15, 2014 · Cincinnati, Oh
- R••••• W• B•••• • C•• I••••••••• mixed wealthMar 4, 2004 to Sep 26, 2007 · Cincinnati, Oh
- S••••• M•••• A••••••• to U•• F•••••••• S••••••• I•••left Aug 26, 2016, registered Sep 13, 2016 (18 days) · Other
- U•• F•••••••• S••••••• I••• to S••••• M•••• A•••••••left Dec 15, 2014, registered Dec 12, 2014 (-3 days) · Other
- R••••• W• B•••• • C•• I••••••••• to U•• F•••••••• S••••••• I•••left Sep 26, 2007, registered Oct 30, 2007 (34 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address