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••••• B••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Dec 10, 2018 · Miamisburg, Oh
- S•••••••• A•••••••• L•• BD affiliatedDec 6, 2018 to Dec 14, 2018 · Maimisburg, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 28, 1999 to Dec 7, 2018 · Dayton, Oh
- S•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 14, 2018, registered Dec 10, 2018 (-4 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A•••••••• L••left Dec 7, 2018, registered Dec 6, 2018 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
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
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address