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.
G••• L•• V•••••••••
- S•• BD affiliated currentsince Sep 24, 2024 · Ann Arbor, Mi
- S•••••• W••••• A••••••• L•• independent RIAJun 17, 2019 to Jun 22, 2020 · New Albany, Oh
- N•• V••• W••••• A••••••• L•• unclassifiedApr 4, 2019 to Jun 7, 2019 · New Albany, Oh
- C•••••• S••••• • C••• I••• national BDApr 26, 2002 to Dec 12, 2018 · Columbus, Oh
- S•••••• W••••• A••••••• L•• to S••left Jun 22, 2020, registered Sep 24, 2024 (1555 days) · RIA to affiliated broker-dealer or bank
- N•• V••• W••••• A••••••• L•• to S•••••• W••••• A••••••• L••left Jun 7, 2019, registered Jun 17, 2019 (10 days) · Other
- C•••••• S••••• • C••• I••• to N•• V••• W••••• A••••••• L••left Dec 12, 2018, registered Apr 4, 2019 (113 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