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.
D•••• M• S•• J•••
- R••••• W• B•••• • C•• I••••••••• mixed wealth currentsince Jun 29, 2020 · Toledo, Oh
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Jul 6, 2020 · Toledo, Oh
- A• G• E•••••• • S•••• I••• unclassifiedNov 14, 2005 to Jan 1, 2008 · Sylvania, Oh
- W•••• F•••• A••••••• to R••••• W• B•••• • C•• I•••••••••left Jul 6, 2020, registered Jun 29, 2020 (-7 days) · Wirehouse to independent RIA · moved with a team
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address