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.
T••••• C•••• M••••
- I••••••••• A•••••• A•••••••• L•• i••••••••• wealth currentsince Aug 16, 2018 · Cincinnati, Oh
- I••••••••• F•••••••• P••••••• BD affiliatedNov 28, 2012 to Aug 16, 2018 · Cincinnati, Oh
- S•••••• N••••••• • C••••••• I••••••••• national BDMar 10, 2008 to Nov 27, 2012 · Blue Ash, Oh
- J••••• H•••••••• W••• L••••• L•• formerJul 22, 2005 to Mar 11, 2008 · Cincinnati, Oh
- P•• W••••• M••••••••• BD affiliatedNov 8, 2004 to Jul 25, 2005 · Cincinatti, Oh
- J••••• H•••••••• W••• L••••• L•• formerNov 20, 2003 to Nov 8, 2004 · Cincinnati, Oh
- I••••••••• F•••••••• P••••••• to I••••••••• A•••••• A•••••••• L••left Aug 16, 2018, registered Aug 16, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••• N••••••• • C••••••• I••••••••• to I••••••••• F•••••••• P•••••••left Nov 27, 2012, registered Nov 28, 2012 (1 days) · Other
- J••••• H•••••••• W••• L••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Mar 11, 2008, registered Mar 10, 2008 (-1 days) · Other
- P•• W••••• M••••••••• to J••••• H•••••••• W••• L••••• L••left Jul 25, 2005, registered Jul 22, 2005 (-3 days) · Other
- J••••• H•••••••• W••• L••••• L•• to P•• W••••• M•••••••••left Nov 8, 2004, registered Nov 8, 2004 (0 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
- I••••••••• WEALTHderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address