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•••• D••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 10, 2022 · San Diego, Ca
- A••••••• F•••••••• A•••••••• L•• BD affiliatedMar 25, 2013 to May 20, 2021 · New Albany, Oh
- P•••••••• S••••••••• I••• BD affiliatedApr 25, 2012 to Jan 16, 2013 · Dublin, Oh
- V•••• F•••••••• A•••••••• I••• BD affiliatedFeb 1, 2011 to Mar 8, 2012 · Columbus, Oh
- P•••••••• S••••••••• I••• BD affiliatedMay 17, 2006 to Jan 12, 2007 · Dublin, Oh
- A••••••• F•••••••• A•••••••• L•• to L•• F•••••••• L••left May 20, 2021, registered Dec 10, 2022 (569 days) · Affiliated broker-dealer or bank to independent RIA
- P•••••••• S••••••••• I••• to A••••••• F•••••••• A•••••••• L••left Jan 16, 2013, registered Mar 25, 2013 (68 days) · Other
- V•••• F•••••••• A•••••••• I••• to P•••••••• S••••••••• I•••left Mar 8, 2012, registered Apr 25, 2012 (48 days) · Other
- P•••••••• S••••••••• I••• to V•••• F•••••••• A•••••••• I•••left Jan 12, 2007, registered Feb 1, 2011 (1481 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address