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.
B•••• H•••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Oct 15, 2025 · Cincinnati, Oh
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 19, 2021 to Aug 18, 2025 · Springfield, Ma
- B••••••••• W••••• M••••••••• L•• independent RIAMar 3, 2020 to Jul 26, 2021 · Miami Township, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 22, 2017 to Mar 4, 2020 · Cincinnati, Oh
- U••• B•••••• I••••••••• I••• formerApr 14, 2016 to May 19, 2017 · Cincinnati, Oh
- R•••••• J•••• • A••••••••• I••• national BDJul 2, 2014 to Apr 13, 2016 · Covington, Ky
- F•••• T•••• S••••••••• I••• BD affiliatedMay 24, 2013 to Jul 7, 2014 · Cincinnati, Oh
- M•• I•••••••• S•••••••• L•• to U•• F•••••••• S••••••• I•••left Aug 18, 2025, registered Oct 15, 2025 (58 days) · Affiliated broker-dealer or bank to wirehouse
- B••••••••• W••••• M••••••••• L•• to M•• I•••••••• S•••••••• L••left Jul 26, 2021, registered Aug 19, 2021 (24 days) · RIA to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••••••• W••••• M••••••••• L••left Mar 4, 2020, registered Mar 3, 2020 (-1 days) · Wirehouse to independent RIA
- U••• B•••••• I••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 19, 2017, registered May 22, 2017 (3 days) · Other
- R•••••• J•••• • A••••••••• I••• to U••• B•••••• I••••••••• I•••left Apr 13, 2016, registered Apr 14, 2016 (1 days) · Other
- F•••• T•••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Jul 7, 2014, registered Jul 2, 2014 (-5 days) · Other
- B•••• H••••••• left M•• I•••••••• S•••••••• L•• for U•• F•••••••• S••••••• I••• (registered 2025-10-15)Aug 18, 2025 · 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
- Wirehousederived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address