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••••••••• J• L••••
- W•••• F•••• A••••••• wirehouse currentsince May 8, 2025 · Cincinnati, Oh
- P•• W••••• M••••••••• BD affiliatedDec 13, 2012 to May 15, 2025 · Cincinnati, Oh
- M••••• S•••••• wirehouseDec 2, 2011 to Dec 11, 2012 · Clearwater, Fl
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left May 15, 2025, registered May 8, 2025 (-7 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to P•• W••••• M•••••••••left Dec 11, 2012, registered Dec 13, 2012 (2 days) · Other
- C••••••••• J• L•••• left P•• W••••• M••••••••• for W•••• F•••• A••••••• (registered 2025-05-08)May 15, 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address