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.
N•••••••• B•••••• S••••••
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Beavercreek, Oh
- C••• F•••••••• S•••••••• L••• formerMar 6, 2017 to May 15, 2025 · Fairborn, Oh
- P•• W••••• M••••••••• BD affiliatedApr 8, 2013 to Mar 2, 2017 · Tipp City, Oh
- L•• F•••••••• L•• BD affiliatedNov 22, 2011 to Dec 17, 2012 · Troy, Oh
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJun 23, 2010 to Nov 22, 2011 · Troy, Oh
- E••••• J•••• national BDJan 25, 2007 to Jun 22, 2010 · West Milton, Oh
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to C••• F•••••••• S•••••••• L•••left Mar 2, 2017, registered Mar 6, 2017 (4 days) · Other
- L•• F•••••••• L•• to P•• W••••• M•••••••••left Dec 17, 2012, registered Apr 8, 2013 (112 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Nov 22, 2011, registered Nov 22, 2011 (0 days) · Other
- E••••• J•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 22, 2010, registered Jun 23, 2010 (1 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address