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.
L•••••• C•••••• M•••••••
- H••••••• W••••• A••••••• independent RIA currentsince Jul 26, 2021 · Cincinnati, Oh
- R•••••• J•••• • A••••••••• I••• national BDOct 18, 2018 to Aug 9, 2021 · Cincinnati, Oh
- W•••• F•••• A••••••• wirehouseJan 22, 2016 to Oct 11, 2018 · Virginia Beach, Va
- R•••••• J•••• • A••••••••• I••• to H••••••• W••••• A•••••••left Aug 9, 2021, registered Jul 26, 2021 (-14 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Oct 11, 2018, registered Oct 18, 2018 (7 days) · Wirehouse to affiliated broker-dealer or bank · 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address