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.
S••••• W••••••
- C••••• P••••••• L•• independent RIA currentsince Jun 20, 2025 · New York, Ny
- M••••• G••••• A••••••• I••• independent RIAAug 21, 2024 to Jun 26, 2025 · Cincinnati, Oh
- U•• F•••••••• S••••••• I••• wirehouseSep 6, 2022 to Aug 6, 2024 · Louisville, Ky
- M••••• G••••• A••••••• I••• to C••••• P••••••• L••left Jun 26, 2025, registered Jun 20, 2025 (-6 days) · RIA to RIA
- U•• F•••••••• S••••••• I••• to M••••• G••••• A••••••• I•••left Aug 6, 2024, registered Aug 21, 2024 (15 days) · Wirehouse to independent RIA
- S••••• W•••••• left M••••• G••••• A••••••• I••• for C••••• P••••••• L•• (registered 2025-06-20)Jun 26, 2025 · Advisor changed firm · fact
- S••••• W•••••• left U•• F•••••••• S••••••• I••• for M••••• G••••• A••••••• I••• (registered 2024-08-21)Aug 6, 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
- Independent wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address