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.
T•••• L•• H•••
- L•••••• D•••••• I••••••••• L•• independent RIA currentsince Feb 24, 2014 · Mt. Vernon, Oh
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Dec 23, 2013 · Powell, Oh
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedApr 16, 2004 to Jan 2, 2009 · Columbus, Oh
- P•••• S••••••••• L•• no RAUMJun 2, 2003 to Apr 22, 2004 · Columbus, Oh
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•••••• D•••••• I••••••••• L••left Dec 23, 2013, registered Feb 24, 2014 (63 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- P•••• S••••••••• L•• to R•••••• J•••• F•••••••• S•••••••• I•••left Apr 22, 2004, registered Apr 16, 2004 (-6 days) · Other
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address