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.
M••• M•••••
- W•• B•••••••• S•••••••• I••• BD affiliated currentsince Jun 30, 2023 · Cincinnati, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Feb 14, 2022 · Boston, Ma
- S•••••••• A••••••• L•• national BDJun 26, 2014 to Jul 13, 2018 · Covington, Ky
- F••••••• P••••••• A•• W•••••••• A••••••• to W•• B•••••••• S•••••••• I•••left Feb 14, 2022, registered Jun 30, 2023 (501 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- M••• M••••• left F••••••• P••••••• A•• W•••••••• A••••••• for W•• B•••••••• S•••••••• I••• (registered 2023-06-30)Feb 14, 2022 · 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