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.
- W•••• F•••• A••••••• wirehouse currentsince Mar 21, 2022 · Dublin, Oh
- M••••• S•••••• wirehouseMay 17, 2010 to Apr 6, 2022 · South Jordan, Ut
- E••••• J•••• national BDFeb 9, 2010 to Apr 5, 2010 · St Louis, Mo
- S•••••••• A••••••• L•• national BDMar 31, 2009 to Dec 4, 2009 · Westlake, Oh
- U•• F•••••••• S••••••• I••• wirehouseApr 17, 2008 to Jan 27, 2009 · Columbus, Oh
- A••••• A•• P••••••• S••••••• BD affiliatedMay 15, 2007 to Mar 17, 2008 · Dublin, Oh
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 8, 2003 to Mar 26, 2007 · Dublin, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 27, 2001 to Jul 10, 2003 · Columbus, Oh
- M••••• S•••••• to W•••• F•••• A•••••••left Apr 6, 2022, registered Mar 21, 2022 (-16 days) · Wirehouse to wirehouse
- E••••• J•••• to M••••• S••••••left Apr 5, 2010, registered May 17, 2010 (42 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• A••••••• L•• to E••••• J••••left Dec 4, 2009, registered Feb 9, 2010 (67 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to S•••••••• A••••••• L••left Jan 27, 2009, registered Mar 31, 2009 (63 days) · Wirehouse to affiliated broker-dealer or bank
- A••••• A•• P••••••• S••••••• to U•• F•••••••• S••••••• I•••left Mar 17, 2008, registered Apr 17, 2008 (31 days) · Other
- C•••••••• G••••• M•••••• I••• to A••••• A•• P••••••• S•••••••left Mar 26, 2007, registered May 15, 2007 (50 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Jul 10, 2003, registered Aug 8, 2003 (29 days) · Other
- C•••••• R••••• left M••••• S•••••• for W•••• F•••• A••••••• (registered 2022-03-21)Apr 6, 2022 · 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
- Wirehousederived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address