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.
P••• S••••• K••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Apr 22, 2020 · Dublin, Oh
- B••••••• F• E•••••• • C••••••• I••••••••• BD affiliatedMar 26, 2012 to Feb 28, 2020 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Mar 26, 2012 · Columbus, Oh
- A• G• E•••••• • S•••• I••• unclassifiedMay 14, 2002 to Jan 1, 2008 · Columbus, Oh
- B••••••• F• E•••••• • C••••••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Feb 28, 2020, registered Apr 22, 2020 (54 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to B••••••• F• E•••••• • C••••••• I•••••••••left Mar 26, 2012, registered Mar 26, 2012 (0 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address