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.
B•••••• C• S•••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jun 27, 2019 · Miamisburg, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 10, 2018 to May 28, 2019 · Miamisburg, Oh
- S•••••••• A•••••••• L•• BD affiliatedDec 6, 2018 to Dec 14, 2018 · Miamisburg, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 11, 2017 to Dec 7, 2018 · Miamisburg, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 24, 2014 to Feb 26, 2016 · Miamisburg, Oh
- U•• F•••••••• S••••••• I••• wirehouseJul 14, 2011 to Aug 30, 2012 · Cincinnati, Oh
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 25, 2011 · Centerville, Oh
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 1, 2006 to Jun 1, 2009 · Centerville, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left May 28, 2019, registered Jun 27, 2019 (30 days) · Wirehouse to wirehouse
- S•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 14, 2018, registered Dec 10, 2018 (-4 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A•••••••• L••left Dec 7, 2018, registered Dec 6, 2018 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 30, 2012, registered Jul 24, 2014 (693 days) · Wirehouse to wirehouse
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Jul 25, 2011, registered Jul 14, 2011 (-11 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address