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.
D•••••• F•••••••• W••••••
- V•••••• A•••••••• I••• BD affiliated currentsince Jun 9, 2015 · Akron, Oh
- V•••••• R••••••••• A•••••••• L•• formerJan 5, 2017 to Oct 5, 2022 · Akron, Oh
- J••• M••••• C••••••• C•••• formerJun 11, 2013 to Jun 11, 2013 · Columbus, Oh
- J••• M••••• S••••••••• L•• wirehouseSep 13, 2012 to Aug 26, 2014 · Columbus, Oh
- C•••• I••••••••• S••••••• C•••• formerApr 7, 2010 to Oct 26, 2012 · Irvine, Ca
- W••• I••••••••• I••• unclassifiedDec 20, 2006 to May 28, 2009 · Irvine, Ca
- V•••••• R••••••••• A•••••••• L•• to no registered destinationleft Oct 5, 2022 · Departure, no registered destination
- J••• M••••• S••••••••• L•• to J••• M••••• C••••••• C••••left Aug 26, 2014, registered Jun 11, 2013 (-441 days) · channel change inside one enterprise, not a move
- J••• M••••• C••••••• C•••• to V•••••• A•••••••• I•••left Jun 11, 2013, registered Jun 9, 2015 (728 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 26, 2012, registered Sep 13, 2012 (-43 days) · corporate re-registration, not a move
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 28, 2009, registered Apr 7, 2010 (314 days) · corporate re-registration, not a move
- D•••••• F•••••••• W•••••• no longer registered at V•••••• R••••••••• A•••••••• L••; no later IA registration on IAPDOct 5, 2022 · Advisor departure · 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address