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•• F•••
- A• W••••• M••••••••• L•• BD affiliated currentsince May 4, 2017 · West Chester, Oh
- G••••• F•••••••• P•••••• C••••••• I••• formerMar 23, 2011 to May 5, 2017 · Harrison, Oh
- C•••••••• F•••••••• G•••• A••••••• formerAug 25, 2003 to Mar 23, 2011 · Harrison, Oh
- U•• F•••••••• S••••••••• L•• independent RIAMay 7, 2003 to Aug 15, 2003 · Harrison, Oh
- G••••• F•••••••• P•••••• C••••••• I••• to A• W••••• M••••••••• L••left May 5, 2017, registered May 4, 2017 (-1 days) · Other · moved with a team
- C•••••••• F•••••••• G•••• A••••••• to G••••• F•••••••• P•••••• C••••••• I•••left Mar 23, 2011, registered Mar 23, 2011 (0 days) · Other
- U•• F•••••••• S••••••••• L•• to C•••••••• F•••••••• G•••• A•••••••left Aug 15, 2003, registered Aug 25, 2003 (10 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address