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••••••• J••••• C••••
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA currentsince Jul 30, 2015 · Scottsdale, Az
- S••••• F•••••••• S•••••••• I••• formerMay 8, 2008 to Dec 31, 2009 · Huntsville, Oh
- N•• E•••••• S••••••••• C••••••••• formerJun 14, 2006 to Mar 24, 2008 · Westlake, Oh
- P•••• S••••••••• L•• no RAUMFeb 10, 2000 to Jan 19, 2005 · Findlay, Oh
- S••••• F•••••••• S•••••••• I••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Dec 31, 2009, registered Jul 30, 2015 (2037 days) · Other
- N•• E•••••• S••••••••• C••••••••• to S••••• F•••••••• S•••••••• I•••left Mar 24, 2008, registered May 8, 2008 (45 days) · Other
- P•••• S••••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Jan 19, 2005, registered Jun 14, 2006 (511 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address