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.
B•••• A• J••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Feb 20, 2025 · Saint Mary'S, Oh
- C•••••••• F•••••••• G•••• A••••••• formerFeb 9, 2018 to Feb 20, 2025 · Saint Mary'S, Oh
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 27, 2016 to Feb 12, 2018 · Celina, Oh
- I••••••••• F•••••••• P••••••• BD affiliatedAug 3, 2011 to Dec 8, 2015 · Celina, Oh
- L•• F•••••••• L•• BD affiliatedJul 13, 2011 to Mar 2, 2012 · Celina, Oh
- M•• I•••••••• S•••••••• L•• BD affiliatedJun 28, 2011 to Jul 15, 2011 · Celina, Oh
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Apr 21, 2011 · Celina, Oh
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedOct 18, 1999 to Jan 2, 2009 · Osgood, Oh
- C•••••••• F•••••••• G•••• A••••••• to C••••• I••••••••• A••••••• L••left Feb 20, 2025, registered Feb 20, 2025 (0 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to C•••••••• F•••••••• G•••• A•••••••left Feb 12, 2018, registered Feb 9, 2018 (-3 days) · Other
- I••••••••• F•••••••• P••••••• to M•• I•••••••• S•••••••• L••left Dec 8, 2015, registered Jan 27, 2016 (50 days) · Other
- L•• F•••••••• L•• to I••••••••• F•••••••• P•••••••left Mar 2, 2012, registered Aug 3, 2011 (-212 days) · Other
- M•• I•••••••• S•••••••• L•• to L•• F•••••••• L••left Jul 15, 2011, registered Jul 13, 2011 (-2 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M•• I•••••••• S•••••••• L••left Apr 21, 2011, registered Jun 28, 2011 (68 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address