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••••••• M•••• T•••••
- O•••• P•••••••• S••••••••• L•• BD affiliated currentsince Jul 7, 2023 · Omaha, Ne
- O•••• P•••••••• S••••••••• L•• formerMay 6, 2016 to Jan 6, 2023 · Hebron, Ky
- E••••• J•••• national BDSep 20, 2013 to Dec 3, 2014 · Crescent Springs, Ky
- S•••••••• A••••••• L•• national BDMar 12, 2013 to Aug 6, 2013 · Covington, Ky
- O•••• P•••••••• S••••••••• L•• to O•••• P•••••••• S••••••••• L••left Jan 6, 2023, registered Jul 7, 2023 (182 days) · corporate re-registration, not a move
- E••••• J•••• to O•••• P•••••••• S••••••••• L••left Dec 3, 2014, registered May 6, 2016 (520 days) · Other
- S•••••••• A••••••• L•• to E••••• J••••left Aug 6, 2013, registered Sep 20, 2013 (45 days) · Affiliated broker-dealer or bank to another
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address