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.
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- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Ft Mitchell, Ky
- F••••••• P••••••• A•• W•••••••• A••••••• formerDec 15, 2020 to Mar 31, 2025 · Covington, Ky
- S••••••••• A•••••• A•••••••• I••• formerDec 18, 2017 to Jun 13, 2019 · Worthington, Oh
- I••••• F•••••••• C••••••••• formerApr 23, 2014 to Dec 18, 2017 · Worthington, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S••••••••• A•••••• A•••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 13, 2019, registered Dec 15, 2020 (551 days) · Affiliated broker-dealer or bank to another
- I••••• F•••••••• C••••••••• to S••••••••• A•••••• A•••••••• I•••left Dec 18, 2017, registered Dec 18, 2017 (0 days) · Other · moved with a team
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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address