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.
C••••••••• M•••••• F•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Apr 24, 2023 · Cincinnati, Oh
- O•••• F•• I••• formerNov 10, 2008 to Apr 25, 2023 · Cincinnati, Oh
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 2, 2008 to Oct 31, 2008 · Cincinnati, Oh
- O•••• F•• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 25, 2023, registered Apr 24, 2023 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•• I•••••••• S•••••••• L•• to O•••• F•• I•••left Oct 31, 2008, registered Nov 10, 2008 (10 days) · Other
- C••••••••• M•••••• F••••• left O•••• F•• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2023-04-24)Apr 25, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address