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.
M••• A••••• B•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 3, 2025 · West Chester, Oh
- P•• W••••• M••••••••• BD affiliatedJul 26, 2021 to May 30, 2025 · Cincinnati, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 24, 2021 to Jun 18, 2021 · Covington, Ky
- V••••• A•••• M••••••••• independent RIAMay 12, 2020 to Feb 3, 2021 · Cincinnati, Oh
- B••• S••••••••• L•• formerJan 2, 2018 to Jun 6, 2018 · Bowling Green, Ky
- B••• I••••••••• S•••••••• I••• formerFeb 9, 2017 to Jan 2, 2018 · Charlotte, Nc
- A••••••• F•••••••• A•••••••• L•• BD affiliatedSep 22, 2010 to Oct 11, 2016 · Cincinnati, Oh
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Jul 23, 2010 · Cincinnati, Oh
- N•••••• I••••••••• I••• unclassifiedAug 28, 2008 to Nov 13, 2009 · Cincinnati, Oh
- P•• W••••• M••••••••• to L•• F•••••••• L••left May 30, 2025, registered Jun 3, 2025 (4 days) · Affiliated broker-dealer or bank to another
- F••••••• P••••••• A•• W•••••••• A••••••• to P•• W••••• M•••••••••left Jun 18, 2021, registered Jul 26, 2021 (38 days) · Affiliated broker-dealer or bank to another
- V••••• A•••• M••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 3, 2021, registered Apr 24, 2021 (80 days) · RIA to affiliated broker-dealer or bank
- B••• S••••••••• L•• to V••••• A•••• M•••••••••left Jun 6, 2018, registered May 12, 2020 (706 days) · Affiliated broker-dealer or bank to independent RIA
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- A••••••• F•••••••• A•••••••• L•• to B••• I••••••••• S•••••••• I•••left Oct 11, 2016, registered Feb 9, 2017 (121 days) · Other
- P•• W••••• M••••••••• to A••••••• F•••••••• A•••••••• L••left Jul 23, 2010, registered Sep 22, 2010 (61 days) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
- M••• A••••• B••••••• left P•• W••••• M••••••••• for L•• F•••••••• L•• (registered 2025-06-03)May 30, 2025 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address