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.
D•••••• V•••••••
- F•••• T•••• S••••••••• I••• BD affiliated currentsince Feb 2, 2024 · Cincinnati, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 14, 2019 to Jun 30, 2020 · Covington, Ky
- P•••• S••••••••• L•• no RAUMSep 16, 2013 to Feb 17, 2015 · Cincinnati, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• to F•••• T•••• S••••••••• I•••left Jun 30, 2020, registered Feb 2, 2024 (1312 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 17, 2015, registered Mar 14, 2019 (1486 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address