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.
T••••• F•••••• A•••••
- M•••••••• W••••• S••••••••• state registered currentsince Mar 23, 2020 · Columbus, Oh
- S•••••• W••••• P•••••••• L•• BD affiliatedOct 10, 2017 to Mar 31, 2020 · Powell, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedSep 24, 2013 to Oct 16, 2017 · Columbus, Oh
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMay 5, 2009 to Aug 13, 2013 · Westerville, Oh
- P•••• S••••••••• L•• no RAUMJan 6, 2009 to Mar 9, 2009 · Columbus, Oh
- V•••• F•••••••• A•••••••• I••• BD affiliatedJun 30, 2008 to Oct 17, 2008 · Columbus, Oh
- U•• F•••••••• S••••••• I••• wirehouseMar 18, 2008 to Jul 7, 2008 · Columbus, Oh
- S•••••• W••••• P•••••••• L•• to M•••••••• W••••• S•••••••••left Mar 31, 2020, registered Mar 23, 2020 (-8 days) · RIA to a state-registered adviser
- F•••• T•••• S••••••••• I••• to S•••••• W••••• P•••••••• L••left Oct 16, 2017, registered Oct 10, 2017 (-6 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to F•••• T•••• S••••••••• I•••left Aug 13, 2013, registered Sep 24, 2013 (42 days) · Other
- P•••• S••••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 9, 2009, registered May 5, 2009 (57 days) · Other
- V•••• F•••••••• A•••••••• I••• to P•••• S••••••••• L••left Oct 17, 2008, registered Jan 6, 2009 (81 days) · Other
- U•• F•••••••• S••••••• I••• to V•••• F•••••••• A•••••••• I•••left Jul 7, 2008, registered Jun 30, 2008 (-7 days) · Other
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
- STATE REGISTEREDderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address