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•••• H••• R•••••••
- S•••••• W••••• P•••••••• L•• BD affiliated currentsince Oct 1, 2010 · Powell, Oh
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 1, 2010 · Dublin, Oh
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 30, 2006 to Jun 1, 2009 · Dublin, Oh
- M••••• S•••••• D• I••• unclassifiedJan 10, 2002 to Dec 6, 2006 · Dublin, Oh
- M••••• S•••••• to S•••••• W••••• P•••••••• L••left Oct 1, 2010, registered Oct 1, 2010 (0 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left Dec 6, 2006, registered Nov 30, 2006 (-6 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address