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.
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- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Dublin, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 11, 2023 to Mar 31, 2025 · Columbus, Oh
- N••••• I••••••••• M••••••••• B••••••• T•••• asset managerApr 20, 2020 to Dec 24, 2020 · Philadelphia, Pa
- D••••••• C•••••• M••••••••• A•••••••• I•• formerJan 19, 2010 to Apr 20, 2020 · Philadelphia, Pa
- L•••••• F•••••••• D••••••••• I••• unclassifiedFeb 17, 2006 to Dec 31, 2009 · Dublin, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 26, 2003 to Jun 8, 2004 · Rockland, Ma
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- N••••• I••••••••• M••••••••• B••••••• T•••• to F••••••• P••••••• A•• W•••••••• A•••••••left Dec 24, 2020, registered Jul 11, 2023 (929 days) · Other
- D••••••• C•••••• M••••••••• A•••••••• I•• to N••••• I••••••••• M••••••••• B••••••• T••••left Apr 20, 2020, registered Apr 20, 2020 (0 days) · corporate re-registration, not a move
- L•••••• F•••••••• D••••••••• I••• to D••••••• C•••••• M••••••••• A•••••••• I••left Dec 31, 2009, registered Jan 19, 2010 (19 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•••••• F•••••••• D••••••••• I•••left Jun 8, 2004, registered Feb 17, 2006 (619 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address