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••••• H••••
- C•••••• S••••• • C••• I••• national BD currentsince Jul 24, 2017 · Perrysburg, Oh
- B• R•••• W••••• M••••••••• formerJul 29, 2016 to Jul 17, 2017 · Toledo, Oh
- W•••• F•••• A••••••• wirehouseMar 15, 2004 to Aug 24, 2016 · Toledo, Oh
- W•••• F•••• A••••••• wirehouseOct 1, 1999 to Mar 12, 2004 · Holland, Oh
- B• R•••• W••••• M••••••••• to C•••••• S••••• • C••• I•••left Jul 17, 2017, registered Jul 24, 2017 (7 days) · Other
- W•••• F•••• A••••••• to B• R•••• W••••• M•••••••••left Aug 24, 2016, registered Jul 29, 2016 (-26 days) · Other
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Mar 12, 2004, registered Mar 15, 2004 (3 days) · channel change inside one enterprise, not a move
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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address