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.
R••• P•••••• G••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Oct 17, 2017 · Cincinnati, Oh
- I••••• F•••••••• C••••••••• formerJul 29, 2015 to Oct 17, 2017 · Cincinnati, Oh
- W•••••••• F•••••••• S•••••••• I••• unclassifiedJun 5, 2015 to Jul 23, 2015 · Cincinnati, Oh
- K•• F•••••••• S•••••••• I•• formerFeb 5, 2015 to Jul 6, 2015 · Cincinnati, Oh
- S•••••••• A••••••• L•• national BDJan 27, 2011 to Feb 22, 2013 · Covington, Ky
- I••••• F•••••••• C••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 17, 2017, registered Oct 17, 2017 (0 days) · Other · moved with a team
- W•••••••• F•••••••• S•••••••• I••• to I••••• F•••••••• C•••••••••left Jul 23, 2015, registered Jul 29, 2015 (6 days) · Other
- K•• F•••••••• S•••••••• I•• to W•••••••• F•••••••• S•••••••• I•••left Jul 6, 2015, registered Jun 5, 2015 (-31 days) · Other
- S•••••••• A••••••• L•• to K•• F•••••••• S•••••••• I••left Feb 22, 2013, registered Feb 5, 2015 (713 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address