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.
M•••••• T••••• B•••••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Cincinnati, Oh
- W••••••• F•••••••• S•••••••• I••• formerJan 2, 2019 to Jan 19, 2024 · Cincinnati, Oh
- M•• I•••••••• S•••••••• L•• BD affiliatedSep 19, 2017 to Dec 31, 2018 · Cincinnati, Oh
- F••••••• F•••••••• S••••••••• L•• independent RIAJun 30, 2015 to Aug 17, 2017 · Milford, Oh
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Dec 31, 2018, registered Jan 2, 2019 (2 days) · Affiliated broker-dealer or bank to another
- F••••••• F•••••••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Aug 17, 2017, registered Sep 19, 2017 (33 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