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•••••• wirehouse currentsince Apr 1, 2020 · Toledo, Oh
- A••••••• A••••••• S••••••• formerDec 13, 2013 to Mar 17, 2020 · Toledo, Oh
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedFeb 7, 2011 to Dec 20, 2011 · Perrysburg, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 14, 2005 to Apr 28, 2009 · Toledo, Oh
- A••••••• A••••••• S••••••• to M••••• S••••••left Mar 17, 2020, registered Apr 1, 2020 (15 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••••• I••••••••• R••••••• A•••••••• I••• to A••••••• A••••••• S•••••••left Dec 20, 2011, registered Dec 13, 2013 (724 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 28, 2009, registered Feb 7, 2011 (650 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address