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.
S•••• K•••••••
- N••••••••• L•• no RAUM currentsince Oct 23, 2012 · Tipp City, Oh
- N••••••••• L•• no RAUMOct 23, 2012 to Dec 31, 2020 · Tipp City, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 17, 2007 to Oct 16, 2012 · Miamisburg, Oh
- A•• F•••••••• A•••••••• L•• unclassifiedJan 11, 2007 to Oct 18, 2007 · Springboro, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••••••••• L••left Oct 16, 2012, registered Oct 23, 2012 (7 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A•• F•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 18, 2007, registered Oct 17, 2007 (-1 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
- No RAUM reportedderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address