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.
K•••••••• E•••••••• B•••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 25, 2019 · Miamisburg, Oh
- O• I••••••••• M••••••••• C• BD affiliatedDec 16, 2016 to Apr 11, 2017 · Cincinnati, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDDec 13, 2011 to Nov 29, 2016 · Dayton, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedJun 9, 2011 to Dec 2, 2011 · Dayton, Oh
- D••• I••••••••• mixed wealthMar 14, 2011 to Jun 21, 2011 · Beavercreek, Oh
- D••• F•••••••• S••••••• independent RIAMar 14, 2011 to Jun 21, 2011 · Beavercreek, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 27, 2009 to Sep 20, 2010 · Dayton, Oh
- O• I••••••••• M••••••••• C• to A••••••••• F•••••••• S•••••••• L••left Apr 11, 2017, registered Mar 25, 2019 (713 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to O• I••••••••• M••••••••• C•left Nov 29, 2016, registered Dec 16, 2016 (17 days) · Other
- F•••• T•••• S••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Dec 2, 2011, registered Dec 13, 2011 (11 days) · Other
- D••• I••••••••• to F•••• T•••• S••••••••• I•••left Jun 21, 2011, registered Jun 9, 2011 (-12 days) · Other
- D••• F•••••••• S••••••• to D••• I•••••••••left Jun 21, 2011, registered Mar 14, 2011 (-99 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to D••• F•••••••• S•••••••left Sep 20, 2010, registered Mar 14, 2011 (175 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
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address