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.
N•••• T••••• K••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Mar 8, 2018 · Dublin, Oh
- W•••• F•••• A••••••• wirehouseSep 14, 2007 to Mar 12, 2018 · Columbus, Oh
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 1, 2006 to Jul 2, 2007 · Columbus, Oh
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Mar 12, 2018, registered Mar 8, 2018 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Jul 2, 2007, registered Sep 14, 2007 (74 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address