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.
J•••• C• D••••
- W•••• F•••• A••••••• wirehouse currentsince Sep 21, 2023 · Dublin, Oh
- M••••• S•••••• wirehouseJun 9, 2021 to Sep 21, 2023 · Dublin, Oh
- N••••••••• S••••••••• L•• no RAUMJan 18, 2016 to May 4, 2021 · Columbus, Oh
- P•• W••••• M••••••••• BD affiliatedJul 19, 2013 to Oct 26, 2015 · Columbus, Oh
- J••• M••••• I••••••••• M••••••••• I••• asset managerJan 3, 2006 to Nov 10, 2009 · New York, Ny
- J••• M••••• A•••• M••••••••• unclassifiedJul 7, 2004 to Dec 31, 2005 · Columbus, Oh
- M••••• S•••••• to W•••• F•••• A•••••••left Sep 21, 2023, registered Sep 21, 2023 (0 days) · Wirehouse to wirehouse · moved with a team
- N••••••••• S••••••••• L•• to M••••• S••••••left May 4, 2021, registered Jun 9, 2021 (36 days) · Other
- P•• W••••• M••••••••• to N••••••••• S••••••••• L••left Oct 26, 2015, registered Jan 18, 2016 (84 days) · Other
- J••• M••••• I••••••••• M••••••••• I••• to P•• W••••• M•••••••••left Nov 10, 2009, registered Jul 19, 2013 (1347 days) · Other
- J••• M••••• A•••• M••••••••• to J••• M••••• I••••••••• M••••••••• I•••left Dec 31, 2005, registered Jan 3, 2006 (3 days) · Other
- J•••• C• D•••• left M••••• S•••••• for W•••• F•••• A••••••• (registered 2023-09-21)Sep 21, 2023 · 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address