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.
J•• S•••••• M•••••••••
- N••••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Feb 24, 2022 · Columbus, Oh
- C••••••• S••••••••• I••• BD affiliatedNov 20, 2019 to Dec 31, 2020 · Fairlawn, Oh
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Nov 21, 2019 · Holland, Oh
- M•• F•••••••• S•••••••• I••• formerDec 7, 2005 to Mar 25, 2017 · Perrysburg, Oh
- M•••••• I••••••••• F••• S••••••• L•• unclassifiedMay 26, 2000 to Jan 11, 2006 · Alpharetta, Ga
- C••••••• S••••••••• I••• to N••••••••• I••••••••• A•••••••• L••left Dec 31, 2020, registered Feb 24, 2022 (420 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to C••••••• S••••••••• I•••left Nov 21, 2019, registered Nov 20, 2019 (-1 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- M•••••• I••••••••• F••• S••••••• L•• to M•• F•••••••• S•••••••• I•••left Jan 11, 2006, registered Dec 7, 2005 (-35 days) · corporate re-registration, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address