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.
D••••• C• B•••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 29, 2026 · Cincinnati, Oh
- H••••••••• F•••••••• A••••••• BD affiliated currentsince Jun 15, 2023 · Cincinnati, Oh
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJan 7, 2022 to Jun 2, 2023 · West Chester, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedApr 28, 2014 to Apr 17, 2020 · Lebanon, Oh
- P•• W••••• M••••••••• BD affiliatedMar 21, 2011 to Apr 25, 2013 · Cincinnati, Oh
- S•••••••• A••••••• L•• national BDJun 22, 2009 to Aug 21, 2009 · Covington, Ky
- C•••••••• I••••••••• R••••••• A•••••••• I••• to H••••••••• F•••••••• A•••••••left Jun 2, 2023, registered Jun 15, 2023 (13 days) · Affiliated broker-dealer or bank to another
- H••••••••• F•••••••• A••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 17, 2020, registered Jan 7, 2022 (630 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to H••••••••• F•••••••• A•••••••left Apr 25, 2013, registered Apr 28, 2014 (368 days) · Other
- S•••••••• A••••••• L•• to P•• W••••• M•••••••••left Aug 21, 2009, registered Mar 21, 2011 (577 days) · Other
- D••••• C• B••••••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for H••••••••• F•••••••• A••••••• (registered 2023-06-15)Jun 2, 2023 · Advisor changed firm · fact
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address