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.
S•••• P•••••
- F•••• T•••• S••••••••• I••• BD affiliated currentsince Mar 11, 2022 · Swanton, Oh
- B•• P•••••••• I••• BD affiliatedFeb 14, 2018 to Mar 23, 2022 · Toledo, Oh
- C••••••• S••••••••• I••• BD affiliatedSep 1, 2016 to Feb 5, 2018 · Maumee, Oh
- B•• P•••••••• I••• to F•••• T•••• S••••••••• I•••left Mar 23, 2022, registered Mar 11, 2022 (-12 days) · Affiliated broker-dealer or bank to another · moved with a team
- C••••••• S••••••••• I••• to B•• P•••••••• I•••left Feb 5, 2018, registered Feb 14, 2018 (9 days) · Other
- S•••• P••••• left B•• P•••••••• I••• for F•••• T•••• S••••••••• I••• (registered 2022-03-11)Mar 23, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address