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•••• P•••• M••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Apr 27, 2016 · Fort Pierce, Fl
- U•• F•••••••• S••••••• I••• wirehouseFeb 9, 2007 to Apr 26, 2016 · Columbus, Oh
- K•••••• C•••••• M•••••• I••• unclassifiedNov 2, 2006 to Feb 9, 2007 · Dublin, Oh
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Apr 26, 2016, registered Apr 27, 2016 (1 days) · Wirehouse to affiliated broker-dealer or bank
- K•••••• C•••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Feb 9, 2007, registered Feb 9, 2007 (0 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
- 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