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.
S•••••• J••••• H•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 17, 2023 · Newport, Ky
- C••••• A••••••• L•• formerJan 27, 2005 to Feb 21, 2023 · Chillicothe, Oh
- P••••••••• I••••••••• A•••••••• I••• unclassifiedOct 14, 2004 to Jan 31, 2005 · Ft. Mitchell, Ky
- C••••• A••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Feb 21, 2023, registered Feb 17, 2023 (-4 days) · Affiliated broker-dealer or bank to another
- P••••••••• I••••••••• A•••••••• I••• to C••••• A••••••• L••left Jan 31, 2005, registered Jan 27, 2005 (-4 days) · Other
- S•••••• J••••• H••• left C••••• A••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-02-17)Feb 21, 2023 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address