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•••• D••••
- C•••••• S••••• • C••• I••• national BD currentsince Sep 8, 2025 · Miamisburg, Oh
- J••• M••••• S••••••••• L•• wirehouseJun 28, 2024 to Aug 13, 2025 · Columbus, Oh
- K•• I••••••••• S••••••• L•• BD affiliatedSep 12, 2023 to May 22, 2024 · Brooklyn, Oh
- J••• M••••• S••••••••• L•• to C•••••• S••••• • C••• I•••left Aug 13, 2025, registered Sep 8, 2025 (26 days) · Wirehouse to affiliated broker-dealer or bank
- K•• I••••••••• S••••••• L•• to J••• M••••• S••••••••• L••left May 22, 2024, registered Jun 28, 2024 (37 days) · Affiliated broker-dealer or bank to wirehouse
- L•••• D•••• left J••• M••••• S••••••••• L•• for C•••••• S••••• • C••• I••• (registered 2025-09-08)Aug 13, 2025 · Advisor changed firm · fact
- L•••• D•••• left K•• I••••••••• S••••••• L•• for J••• M••••• S••••••••• L•• (registered 2024-06-28)May 22, 2024 · 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address