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.
G••••••• G••••• G••••••
- M•••••• BD affiliated currentsince Oct 1, 2021 · West Chester, Oh
- P••••••• W••••• M••••••••• I••• formerJul 16, 2012 to Dec 23, 2021 · West Chester, Oh
- S••••••••• A•••••• A•••••••• I••• formerAug 21, 2009 to Sep 28, 2012 · Cincinnati, Oh
- L•• F•••••••• L•• BD affiliatedMay 5, 2009 to Jul 13, 2009 · California, Ky
- C•••• C•••••• S••••••••• L••• formerApr 2, 2009 to May 29, 2009 · Cincinnati, Oh
- S•••••••• A••••••• L•• national BDJun 13, 2008 to Feb 20, 2009 · Cincinnati, Oh
- P••••••• W••••• M••••••••• I••• to M••••••left Dec 23, 2021, registered Oct 1, 2021 (-83 days) · RIA to affiliated broker-dealer or bank · moved with a team
- S••••••••• A•••••• A•••••••• I••• to P••••••• W••••• M••••••••• I•••left Sep 28, 2012, registered Jul 16, 2012 (-74 days) · Other
- L•• F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Jul 13, 2009, registered Aug 21, 2009 (39 days) · Other
- C•••• C•••••• S••••••••• L••• to L•• F•••••••• L••left May 29, 2009, registered May 5, 2009 (-24 days) · Other
- S•••••••• A••••••• L•• to C•••• C•••••• S••••••••• L•••left Feb 20, 2009, registered Apr 2, 2009 (41 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address