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••••• S•••••• wirehouse currentsince Jun 13, 2011 · Centerville, Oh
- J••••• H•••••••• W••• L••••• L•• formerJun 20, 2005 to Jun 15, 2011 · Dayton, Oh
- L••• M•••• W••• W•••••• I••••••••• unclassifiedSep 2, 2003 to Jun 22, 2005 · Dayton, Oh
- W•••• F•••• A••••••• wirehouseJan 2, 2003 to Sep 15, 2003 · Centerville, Oh
- J••••• H•••••••• W••• L••••• L•• to M••••• S••••••left Jun 15, 2011, registered Jun 13, 2011 (-2 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to J••••• H•••••••• W••• L••••• L••left Jun 22, 2005, registered Jun 20, 2005 (-2 days) · Other
- W•••• F•••• A••••••• to L••• M•••• W••• W•••••• I•••••••••left Sep 15, 2003, registered Sep 2, 2003 (-13 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
- Wirehousederived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address