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.
R•••••• L•••• D••••
- O• I••••••••• M••••••••• C• BD affiliated currentsince Mar 1, 2022 · Findlay, Oh
- O•••• W•••••• I••• BD affiliatedMar 22, 2016 to Mar 3, 2022 · Findlay, Oh
- O• I••••••••• M••••••••• C• BD affiliatedMar 16, 2011 to Mar 29, 2016 · Findlay, Oh
- S••••••• F•••••••• S•••••••• I••• formerApr 11, 2003 to Mar 21, 2011 · Findlay, Oh
- O•••• W•••••• I••• to O• I••••••••• M••••••••• C•left Mar 3, 2022, registered Mar 1, 2022 (-2 days) · Affiliated broker-dealer or bank to another
- O• I••••••••• M••••••••• C• to O•••• W•••••• I•••left Mar 29, 2016, registered Mar 22, 2016 (-7 days) · Other
- S••••••• F•••••••• S•••••••• I••• to O• I••••••••• M••••••••• C•left Mar 21, 2011, registered Mar 16, 2011 (-5 days) · Other
- R•••••• L•••• D•••• left O•••• W•••••• I••• for O• I••••••••• M••••••••• C• (registered 2022-03-01)Mar 3, 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address