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.
A••• H••••
- C••••• P••••••• L•• independent RIA currentsince Jun 26, 2023 · Cincinnati, Oh
- C••••• P••••••• O••• L•• institutionalNov 10, 2022 to Apr 24, 2023 · Sharonville, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 14, 2020 to Sep 14, 2021 · Covington, Ky
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 25, 2017 to Sep 13, 2018 · Cincinnati, Oh
- C••••• P••••••• O••• L•• to C••••• P••••••• L••left Apr 24, 2023, registered Jun 26, 2023 (63 days) · corporate re-registration, not a move
- F••••••• P••••••• A•• W•••••••• A••••••• to C••••• P••••••• O••• L••left Sep 14, 2021, registered Nov 10, 2022 (422 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 13, 2018, registered Jul 14, 2020 (670 days) · Wirehouse to affiliated broker-dealer or bank
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address