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.
- M••••• S•••••• wirehouse currentsince Jul 26, 2024 · Centerville, Oh
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Jul 29, 2024 · Dayton, Oh
- N•••••• I••••••••• I••• unclassifiedAug 1, 2007 to Nov 13, 2009 · Dayton, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedMar 2, 2005 to Aug 17, 2007 · Dayton, Oh
- P•• W••••• M••••••••• to M••••• S••••••left Jul 29, 2024, registered Jul 26, 2024 (-3 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
- F•••• T•••• S••••••••• I••• to N•••••• I••••••••• I•••left Aug 17, 2007, registered Aug 1, 2007 (-16 days) · Other
- C•••• L• L••••• left P•• W••••• M••••••••• for M••••• S•••••• (registered 2024-07-26)Jul 29, 2024 · 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address