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••• W•••••• P••••••
- C•••••• S••••• • C••• I••• national BD currentsince Jan 27, 2022 · Cincinnati, Oh
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 9, 2021 to Sep 7, 2023 · Cincinnati, Oh
- T• A••••••••• I••• formerMar 9, 2021 to Oct 14, 2022 · Cincinnati, Oh
- U••• B•••••• I••••••••• I••• formerSep 11, 2019 to Sep 10, 2020 · Cincinnati, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Aug 30, 2019 · Covington, Ky
- S•••••••• A••••••• L•• national BDJun 21, 2018 to Jul 13, 2018 · Covington, Ky
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 27, 2022 (-588 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Mar 9, 2021 (-584 days) · corporate re-registration, not a move
- U••• B•••••• I••••••••• I••• to T• A••••••••• I•••left Sep 10, 2020, registered Mar 9, 2021 (180 days) · Other
- F••••••• P••••••• A•• W•••••••• A••••••• to U••• B•••••• I••••••••• I•••left Aug 30, 2019, registered Sep 11, 2019 (12 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address