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••••• A• D•••••• J••
- P•• W••••• M••••••••• BD affiliated currentsince Mar 27, 2024 · Cincinnati, Oh
- P•••• S••••••••• L•• no RAUMOct 28, 2016 to Mar 27, 2024 · Cincinnati, Oh
- A••••••• F•••••••• A•••••••• L•• BD affiliatedJul 8, 2015 to Oct 4, 2016 · Cincinnati, Oh
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 15, 2014 · Cincinnati, Oh
- M••••• S•••••• • C•• L•• unclassifiedFeb 17, 2009 to Jun 1, 2009 · Cincinnati, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 10, 2000 to Feb 18, 2009 · Cincinnati, Oh
- P•••• S••••••••• L•• to P•• W••••• M•••••••••left Mar 27, 2024, registered Mar 27, 2024 (0 days) · Affiliated broker-dealer or bank to another
- A••••••• F•••••••• A•••••••• L•• to P•••• S••••••••• L••left Oct 4, 2016, registered Oct 28, 2016 (24 days) · Other
- M••••• S•••••• to A••••••• F•••••••• A•••••••• L••left Sep 15, 2014, registered Jul 8, 2015 (296 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Feb 18, 2009, registered Feb 17, 2009 (-1 days) · Other
- A••••• A• D•••••• J•• left P•••• S••••••••• L•• for P•• W••••• M••••••••• (registered 2024-03-27)Mar 27, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address