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.
B••••••• J•••• J••••
- N••••••• W••••• M••••••••• G••••• L•• independent RIA currentsince Mar 24, 2016 · Cincinnati, Oh
- N••••••• W••••• M••••••••• G••••• L•• independent RIAJul 6, 2015 to Dec 31, 2021 · Cincinnati, Oh
- L•• F•••••••• L•• BD affiliatedMar 4, 2013 to Sep 7, 2016 · Loveland, Oh
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Mar 5, 2013 · Mason, Oh
- C•••• I••••••••• S••••••• C•••• formerOct 5, 2010 to Oct 1, 2012 · Loveland, Oh
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Sep 29, 2010 · Mason, Oh
- N•••••• I••••••••• I••• unclassifiedAug 23, 2007 to Nov 13, 2009 · West Chester, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDAug 17, 2006 to Aug 1, 2007 · Cincinnati, Oh
- L•• F•••••••• L•• to N••••••• W••••• M••••••••• G••••• L••left Sep 7, 2016, registered Jul 6, 2015 (-429 days) · Other
- J••• M••••• S••••••••• L•• to L•• F•••••••• L••left Mar 5, 2013, registered Mar 4, 2013 (-1 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to C•••• I••••••••• S••••••• C••••left Sep 29, 2010, registered Oct 5, 2010 (6 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
- A••••••••• F•••••••• S•••••••• L•• to N•••••• I••••••••• I•••left Aug 1, 2007, registered Aug 23, 2007 (22 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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address