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.
T•• A•••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Feb 14, 2019 · Cincinnati, Oh
- U•• F•••••••• S••••••• I••• wirehouseSep 2, 2011 to Feb 25, 2019 · Cincinnati, Oh
- M••••• S•••••• wirehouseSep 25, 2009 to Sep 22, 2011 · Cincinnati, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 28, 2008 to Oct 1, 2009 · Cincinnati, Oh
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Feb 25, 2019, registered Feb 14, 2019 (-11 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Sep 22, 2011, registered Sep 2, 2011 (-20 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Oct 1, 2009, registered Sep 25, 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address