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.
J••••• L••• S•••••••
- W••••••••• A••••••• P••••••• L•• BD affiliated currentsince Mar 31, 2022 · West Chester, Pa
- M•••••• I••••••••• i••••••••• wealthMar 1, 2022 to Apr 7, 2022 · Cincinnati, Oh
- A••••••••• L•• formerFeb 23, 2017 to Mar 30, 2022 · Mason, Oh
- L••••••• F•••••••• G••••• I••• formerJun 21, 2011 to Feb 14, 2017 · Dayton, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDMay 18, 2006 to Sep 17, 2009 · Dayton, Oh
- M•••••• I••••••••• to W••••••••• A••••••• P••••••• L••left Apr 7, 2022, registered Mar 31, 2022 (-7 days) · RIA to RIA
- A••••••••• L•• to M•••••• I•••••••••left Mar 30, 2022, registered Mar 1, 2022 (-29 days) · corporate re-registration, not a move
- L••••••• F•••••••• G••••• I••• to A••••••••• L••left Feb 14, 2017, registered Feb 23, 2017 (9 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L••••••• F•••••••• G••••• I•••left Sep 17, 2009, registered Jun 21, 2011 (642 days) · Other
- J••••• L••• S••••••• left M•••••• I••••••••• for W••••••••• A••••••• P••••••• L•• (registered 2022-03-31)Apr 7, 2022 · 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address