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.
T•••• E••••• R•••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 16, 2019 · Columbus, Oh
- M•• A••••••• F•••••••• M••••••••• I••• formerMay 15, 2015 to Dec 16, 2019 · Worthington, Oh
- C••••••• A•••• M••••••••• L•• BD affiliatedSep 9, 2013 to May 29, 2015 · Perrysville, Oh
- M•• A••••••• F•••••••• M••••••••• I••• to L•• F•••••••• L••left Dec 16, 2019, registered Dec 16, 2019 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- C••••••• A•••• M••••••••• L•• to M•• A••••••• F•••••••• M••••••••• I•••left May 29, 2015, registered May 15, 2015 (-14 days) · Other · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address