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•••••• L•••••• W•••••
- C•••••• I••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jan 2, 2020 · Toledo, Oh
- B••••••••• F•••••••• G••••• I••• formerJun 12, 2017 to Jan 2, 2020 · Dayton, Oh
- B••••••••• C•••••• M••••••••• I••• formerApr 4, 2005 to Jan 2, 2020 · Dayton, Oh
- N•• F••••••••• I••• unclassifiedMay 23, 2003 to Jul 14, 2005 · Toledo, Oh
- B••••• • Y•••• A•••••••• I••• formerFeb 25, 2002 to May 30, 2003 · Toledo, Oh
- B••••••••• F•••••••• G••••• I••• to C•••••• I••••••••• A••••••• S•••••••• L••left Jan 2, 2020, registered Jan 2, 2020 (0 days) · Other
- B••••••••• C•••••• M••••••••• I••• to B••••••••• F•••••••• G••••• I•••left Jan 2, 2020, registered Jun 12, 2017 (-934 days) · Other · moved with a team
- N•• F••••••••• I••• to B••••••••• C•••••• M••••••••• I•••left Jul 14, 2005, registered Apr 4, 2005 (-101 days) · Other
- B••••• • Y•••• A•••••••• I••• to N•• F••••••••• I•••left May 30, 2003, registered May 23, 2003 (-7 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address