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.
A•••••• R••••••
- M•••••• BD affiliated currentsince Feb 26, 2018 · Cincinnati, Oh
- M•••••• W••••• A••••••• formerJan 4, 2013 to Nov 26, 2018 · Cincinnati, Oh
- R••••••••• C•••••• M••••••••• I••• formerJun 13, 2011 to Dec 31, 2012 · Cincinnati, Oh
- H••••••• L•••• C•••••• M••••••••• L•• unclassifiedMar 24, 2009 to Apr 11, 2011 · Louisville, Ky
- M•••••• W••••• A••••••• to M••••••left Nov 26, 2018, registered Feb 26, 2018 (-273 days) · Other · moved with a team
- R••••••••• C•••••• M••••••••• I••• to M•••••• W••••• A•••••••left Dec 31, 2012, registered Jan 4, 2013 (4 days) · Other
- H••••••• L•••• C•••••• M••••••••• L•• to R••••••••• C•••••• M••••••••• I•••left Apr 11, 2011, registered Jun 13, 2011 (63 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
- 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