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.
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D•••••• R•••
- J••• M••••• S••••••••• L•• wirehouse currentsince Feb 1, 2023 · Farmington Hills, Mi
- L•• F•••••••• L•• BD affiliatedMay 18, 2022 to Feb 13, 2023 · Marysville, Oh
- C••• B•••••••• S•••••••• I••• formerOct 8, 2020 to May 18, 2022 · Marysville, Oh
- W•••• F•••• A••••••• wirehouseOct 12, 2011 to Oct 5, 2020 · Dublin, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedJun 18, 2010 to Oct 11, 2011 · Dublin, Oh
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 8, 2010 · Columbus, Oh
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 23, 2003 to Jun 1, 2009 · Columbus, Oh
- P••••••••• E••••• G••••• L•• unclassifiedOct 6, 1999 to Jun 27, 2003 · Columbus, Oh
- L•• F•••••••• L•• to J••• M••••• S••••••••• L••left Feb 13, 2023, registered Feb 1, 2023 (-12 days) · RIA to wirehouse
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to C••• B•••••••• S•••••••• I•••left Oct 5, 2020, registered Oct 8, 2020 (3 days) · Wirehouse to affiliated broker-dealer or bank
- H••••••••• F•••••••• A••••••• to W•••• F•••• A•••••••left Oct 11, 2011, registered Oct 12, 2011 (1 days) · Other
- M••••• S•••••• to H••••••••• F•••••••• A•••••••left Jul 8, 2010, registered Jun 18, 2010 (-20 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- P••••••••• E••••• G••••• L•• to C•••••••• G••••• M•••••• I•••left Jun 27, 2003, registered Jun 23, 2003 (-4 days) · Other
- D•••••• R••• left L•• F•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2023-02-01)Feb 13, 2023 · Advisor changed firm · fact
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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address