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.
J••••• S•••• H••••
- C••••••• institutional currentsince Jan 30, 2017 · West Chester Township, Oh
- B••••• K••••••• W••••• M••••••••• L•• formerSep 6, 2013 to Jan 3, 2017 · Cincinnati, Oh
- L•• F•••••••• L•• BD affiliatedJun 26, 2013 to Oct 30, 2015 · Cincinnati, Oh
- I•••• A•••• P•••••••• L•• independent RIASep 16, 2010 to Dec 22, 2011 · Indianapolis, In
- L•• F•••••••• L•• BD affiliatedApr 18, 2008 to Oct 6, 2010 · Carmel, In
- B••••• K••••••• W••••• M••••••••• L•• to C•••••••left Jan 3, 2017, registered Jan 30, 2017 (27 days) · Other
- L•• F•••••••• L•• to B••••• K••••••• W••••• M••••••••• L••left Oct 30, 2015, registered Sep 6, 2013 (-784 days) · Other · moved with a team
- I•••• A•••• P•••••••• L•• to L•• F•••••••• L••left Dec 22, 2011, registered Jun 26, 2013 (552 days) · Other
- L•• F•••••••• L•• to I•••• A•••• P•••••••• L••left Oct 6, 2010, registered Sep 16, 2010 (-20 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
- Institutional managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address