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.
P••• M•••••• P•••• L•••
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · Cambridge, Oh
- U••• B•••••• I••••••••• I••• formerJul 17, 2023 to Feb 13, 2026 · Saint Paul, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDSep 23, 2022 to Aug 1, 2023 · North Vernon, In
- E••••• J•••• national BDSep 19, 2017 to Sep 23, 2022 · Cincinnati, Oh
- P•••• S••••••••• L•• no RAUMOct 4, 2016 to May 31, 2017 · Cincinnati, Oh
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to U••• B•••••• I••••••••• I•••left Aug 1, 2023, registered Jul 17, 2023 (-15 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to A••••••••• F•••••••• S•••••••• L••left Sep 23, 2022, registered Sep 23, 2022 (0 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to E••••• J••••left May 31, 2017, registered Sep 19, 2017 (111 days) · Other
- P••• M•••••• P•••• L••• left A••••••••• F•••••••• S•••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2023-07-17)Aug 1, 2023 · Advisor changed firm · fact
- P••• M•••••• P•••• L••• left E••••• J•••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-09-23)Sep 23, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address