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••••••••• A• C••••••
- B••••••••• I••••••••• S••••••• L•• state registered currentsince Jul 21, 2020 · Loveland, Oh
- N••••••• W••••• M••••••••• G••••• L•• independent RIAJan 5, 2016 to Sep 8, 2020 · Cincinnati, Oh
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Sep 8, 2016 · Cincinnati, Oh
- N••••••• W••••• M••••••••• G••••• L•• to B••••••••• I••••••••• S••••••• L••left Sep 8, 2020, registered Jul 21, 2020 (-49 days) · RIA to a state-registered adviser
- L•• F•••••••• L•• to N••••••• W••••• M••••••••• G••••• L••left Sep 8, 2016, registered Jan 5, 2016 (-247 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
- STATE REGISTEREDderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address