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.
T••••• A••• E•••••
- T•• R••••••••• G••• F•••••• independent RIA currentsince Nov 19, 2020 · Maumee, Oh
- B••••••••• A•••• M••••••••• L•• independent RIAMay 24, 2018 to Jan 15, 2021 · Cincinnati, Oh
- S••••• A••••••• I••• BD affiliatedJan 30, 2015 to May 24, 2018 · Cincinnati, Oh
- S••••• A••• I••••••••• A•••••• S•••••••• I••• formerJun 19, 2013 to Jan 30, 2015 · Cincinnati, Oh
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMar 22, 2010 to May 29, 2013 · Cincinnati, Oh
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedAug 15, 2006 to Dec 31, 2006 · Cincinnati, Oh
- B••••••••• A•••• M••••••••• L•• to T•• R••••••••• G••• F••••••left Jan 15, 2021, registered Nov 19, 2020 (-57 days) · RIA to RIA
- S••••• A••••••• I••• to B••••••••• A•••• M••••••••• L••left May 24, 2018, registered May 24, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA
- S••••• A••• I••••••••• A•••••• S•••••••• I••• to S••••• A••••••• I•••left Jan 30, 2015, registered Jan 30, 2015 (0 days) · corporate re-registration, not a move
- C•••••••• I••••••••• R••••••• A•••••••• I••• to S••••• A••• I••••••••• A•••••• S•••••••• I•••left May 29, 2013, registered Jun 19, 2013 (21 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 31, 2006, registered Mar 22, 2010 (1177 days) · Other
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
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address