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.
A••••• N••• S••••••••
- I••••••••• A•••••• A•••••••• L•• i••••••••• wealth currentsince Aug 10, 2017 · Toledo, Oh
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Aug 15, 2017 · Toledo, Oh
- M•• F•••••••• S•••••••• I••• formerNov 6, 2015 to Mar 25, 2017 · Toledo, Oh
- L•• F•••••••• L•• BD affiliatedDec 18, 2014 to Nov 16, 2015 · Sylvania, Oh
- C••• B•••••••• S•••••••• I••• formerJun 7, 2001 to Jan 7, 2015 · Beavercreek, Oh
- M•• I•••••••• S•••••••• L•• to I••••••••• A•••••• A•••••••• L••left Aug 15, 2017, registered Aug 10, 2017 (-5 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to M•• F•••••••• S•••••••• I•••left Nov 16, 2015, registered Nov 6, 2015 (-10 days) · Other
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left Jan 7, 2015, registered Dec 18, 2014 (-20 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
- I••••••••• WEALTHderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address