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••• M•••• N••••••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 30, 2019 · Archbold, Oh
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJun 18, 2019 to Oct 7, 2019 · Fairfield, Ia
- L•• F•••••••• L•• BD affiliatedMar 15, 2011 to Jun 26, 2019 · San Diego, Ca
- N•• A•••••••• I••• unclassifiedMar 5, 2008 to Dec 31, 2010 · Bryan, Oh
- N•• F••••••••• I••• unclassifiedApr 24, 2007 to Oct 20, 2008 · Bryan, Oh
- 1••• C•••••• M••••••••• C•••••• unclassifiedMay 31, 2005 to Apr 12, 2007 · Dublin, Oh
- N•• F••••••••• I••• unclassifiedNov 14, 2003 to Jul 1, 2004 · Bryan, Oh
- N••••••••• S••••••••• L•• no RAUMJun 25, 2003 to Nov 13, 2003 · Dublin, Oh
- C•••••••• I••••••••• R••••••• A•••••••• I••• to L•• F•••••••• L••left Oct 7, 2019, registered Oct 30, 2019 (23 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jun 26, 2019, registered Jun 18, 2019 (-8 days) · RIA to affiliated broker-dealer or bank
- N•• A•••••••• I••• to L•• F•••••••• L••left Dec 31, 2010, registered Mar 15, 2011 (74 days) · Other
- N•• F••••••••• I••• to N•• A•••••••• I•••left Oct 20, 2008, registered Mar 5, 2008 (-229 days) · corporate re-registration, not a move
- 1••• C•••••• M••••••••• C•••••• to N•• F••••••••• I•••left Apr 12, 2007, registered Apr 24, 2007 (12 days) · Other
- N•• F••••••••• I••• to 1••• C•••••• M••••••••• C••••••left Jul 1, 2004, registered May 31, 2005 (334 days) · Other
- N••••••••• S••••••••• L•• to N•• F••••••••• I•••left Nov 13, 2003, registered Nov 14, 2003 (1 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address