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.
M••• A••••• P•••••••
- P••••••• W••••• M••••••••• L•• state registered currentsince Sep 14, 2018 · Pickerington, Oh
- M•• A••••••• F•••••••• M••••••••• I••• formerApr 19, 2013 to Oct 8, 2020 · Baltimore, Oh
- W•••• F•••• A••••••• wirehouseMar 16, 2007 to Apr 22, 2013 · New Albany, Oh
- U•• F•••••••• S••••••• I••• wirehouseMar 28, 2003 to Mar 28, 2007 · Gahanna, Oh
- M•• A••••••• F•••••••• M••••••••• I••• to P••••••• W••••• M••••••••• L••left Oct 8, 2020, registered Sep 14, 2018 (-755 days) · Affiliated broker-dealer or bank to a state-registered adviser
- W•••• F•••• A••••••• to M•• A••••••• F•••••••• M••••••••• I•••left Apr 22, 2013, registered Apr 19, 2013 (-3 days) · Other
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Mar 28, 2007, registered Mar 16, 2007 (-12 days) · Wirehouse to wirehouse
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
- STATE REGISTEREDderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address