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.
S•••••• T••••• M••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Dec 12, 2022 · Zanesville, Oh
- A•••• F•••••••• P•••••••• I••• unclassifiedJul 22, 2015 to Jan 17, 2023 · Dublin, Oh
- S•••••• W••••• P•••••••• L•• BD affiliatedJun 15, 2012 to Oct 1, 2015 · Columbus, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedSep 3, 2010 to Jun 12, 2012 · Dublin, Oh
- M••••• G••••• A••••••• I••• independent RIAJul 11, 2008 to Sep 16, 2010 · Dublin, Oh
- M••••• A••••••• unclassifiedApr 2, 2001 to Jul 10, 2008 · Dublin, Oh
- A•••• F•••••••• P•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jan 17, 2023, registered Dec 12, 2022 (-36 days) · Other · moved with a team
- S•••••• W••••• P•••••••• L•• to A•••• F•••••••• P•••••••• I•••left Oct 1, 2015, registered Jul 22, 2015 (-71 days) · Other · moved with a team
- H••••••••• F•••••••• A••••••• to S•••••• W••••• P•••••••• L••left Jun 12, 2012, registered Jun 15, 2012 (3 days) · Other
- M••••• G••••• A••••••• I••• to H••••••••• F•••••••• A•••••••left Sep 16, 2010, registered Sep 3, 2010 (-13 days) · Other
- M••••• A••••••• to M••••• G••••• A••••••• I•••left Jul 10, 2008, registered Jul 11, 2008 (1 days) · Other
- S•••••• T••••• M•••••• left A•••• F•••••••• P•••••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-12-12)Jan 17, 2023 · Advisor changed firm · fact
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address