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••••• T••••• H••••••••
- A• W••••• M••••••••• L•• BD affiliated currentsince Feb 5, 2024 · Dayton, Oh
- A••••••• W••••• A••••••• BD affiliatedOct 5, 2022 to Mar 29, 2024 · Dayton, Oh
- K•••• M••••••••• formerJan 25, 2022 to Sep 30, 2022 · Dayton, Oh
- A••••••• W••••• A••••••• to A• W••••• M••••••••• L••left Mar 29, 2024, registered Feb 5, 2024 (-53 days) · Affiliated broker-dealer or bank to another · moved with a team
- K•••• M••••••••• to A••••••• W••••• A•••••••left Sep 30, 2022, registered Oct 5, 2022 (5 days) · Affiliated broker-dealer or bank to another
- A••••• T••••• H•••••••• left A••••••• W••••• A••••••• for A• W••••• M••••••••• L•• (registered 2024-02-05)Mar 29, 2024 · Advisor changed firm · fact
- A••••• T••••• H•••••••• left K•••• M••••••••• for A••••••• W••••• A••••••• (registered 2022-10-05)Sep 30, 2022 · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address