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•••• A•••••• K••••••
- K•••••• W••••• A•••••••• L•• independent RIA currentsince Mar 10, 2017 · Cincinnati, Oh
- L•• F•••••••• L•• BD affiliatedNov 17, 2008 to Apr 21, 2017 · Cincinnati, Oh
- C••••• I••••••••• S••••••• L•• formerMay 17, 2006 to Nov 12, 2008 · Milford, Oh
- H•••••• T••••••• • K•••• L•• independent RIAJan 19, 2006 to May 19, 2006 · Cincinnati, Oh
- L•• F•••••••• L•• to K•••••• W••••• A•••••••• L••left Apr 21, 2017, registered Mar 10, 2017 (-42 days) · Other
- C••••• I••••••••• S••••••• L•• to L•• F•••••••• L••left Nov 12, 2008, registered Nov 17, 2008 (5 days) · Other
- H•••••• T••••••• • K•••• L•• to C••••• I••••••••• S••••••• L••left May 19, 2006, registered May 17, 2006 (-2 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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address