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.
K•••• L• C•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Sep 12, 2022 · Cincinnati, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedMar 22, 2016 to Jul 16, 2021 · Evendale, Oh
- U•• F•••••••• S••••••• I••• wirehouseJan 15, 2009 to Feb 16, 2016 · Cincinnati, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 10, 2008 to Jan 21, 2009 · Cincinnati, Oh
- F•••• T•••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 16, 2021, registered Sep 12, 2022 (423 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to F•••• T•••• S••••••••• I•••left Feb 16, 2016, registered Mar 22, 2016 (35 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Jan 21, 2009, registered Jan 15, 2009 (-6 days) · Wirehouse to wirehouse
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address