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.
C•••••• H• S••••••
- C•••••• S••••• • C••• I••• national BD currentsince May 7, 2019 · Columbus, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedJun 4, 2018 to May 2, 2019 · Columbus, Oh
- S•••••••• I••••••••• M••••••••• formerMay 23, 2017 to Mar 8, 2018 · Saint Louis, Mo
- H••••••••• F•••••••• A••••••• to C•••••• S••••• • C••• I•••left May 2, 2019, registered May 7, 2019 (5 days) · Affiliated broker-dealer or bank to another
- S•••••••• I••••••••• M••••••••• to H••••••••• F•••••••• A•••••••left Mar 8, 2018, registered Jun 4, 2018 (88 days) · Affiliated broker-dealer or bank to another · moved with a team
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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address